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HomeMy WebLinkAboutCOM 0512.001 2024-2026C. Kimo Alameda, Ph.D. Benson Medina Mayor Director 'f William V. Brilhante, Jr. Dennis Dennis Lin Managing Director Deputy Director DEPARTMENT OF RESEARCH AND DEVELOPMENT 25 Aupuni Street, Room 1301 f Hilo, Hawai 1 96720-4252 ;CD (808) 961-8366 f Fax (808) 935-1205 c n E-mail: chresdev@co.hawaii.hi.us September 29, 2025 Via Hand Delivery and Electronic Mail -a — Honorable Michelle M. Galimba, Chairperson — and Members of the Communications, Reports, and Council Oversight Committee w 25 Aupuni Street Hilo, Hawaii 96720 RE: Comm. No. 512, Memorandum to accompany presentation regarding RFP #4575 - Community -Based Mental Health Center with West Hawaii Community Health Center dba Hawaii Island Community Health Center Dear Chairperson Galimba and CRCOC Members: This memo lays out the series of events and background information that led up to the mutual termination of the contract (RFP #45.75) between the County of Hawaii Department of Research and Development (R&D) and West Hawaii Community Health Center dba Hawai'i Island Community Health Center (HICHC) for HICHC's Crisis Intervention Center in Hilo, Hawaii. The County of Hawaii received federal funds from the U.S. Department of Treasury through its State and Local Fiscal Recovery Fund Program authorized by the American Rescue Plan Act (ARPA), to support local governments' response to, and recovery from, the COVID-19 public health emergency. Under the terms of the federal grant, all ARPA funds received were required to be obligated (i.e., under contract) by December 31, 2024, and all funds were required to be spent no later than December 31, 2026. Any unspent funds would need to be returned to the U.S. Department of Treasury. On September 6, 2024, R&D issued RFP #4575 seeking proposals from qualified applicants to establish a community -based mental health center to address the critical shortage of mental health services in East Hawaii (Crisis Stabilization Unit). The scope of the project included: 1. Securing a lease to operate a Crisis Stabilization Unit, for services to start on January 1, 2025. 2. Enhancing access to mental health services through a 24/7-Crisis Stabilization Unit for immediate and around -the -clock access to high quality care for individuals experiencing mental health crises. On December 2, 2024, the contract for RFP #4575 was awarded to HICHC in the amount of $3,845,000. Initial payment to HICHC was $576,750. The contract completion date was October 31, 2026. On March 7, 2025, HICHC failed to obtain a Iease for its Mohouli Street facility intended for proposed Crisis Stabilization Unit, and the County initiated a meeting with HICHC Hawaii County is an Equal Opportunity Provider and Employer Comm. No.d 1 t' I _ Ref. To: Ilu Ref. Date OCT - 7 2025 Page 2 to discuss contract deficiencies. On March 18, 2025, the County met with HICHC to go over status of the contract. Following the meeting, on March 28, 2025, R&D sent a list of questions to HICHC seeking answers around operational concerns and efforts to obtain a lease for the Crisis Stabilization Unit. On April 7, 2025, the County received HICHC's responses. After evaluating the responses, on April 14, 2025, the County issued a Stop Work Order (Order). This Order was to reevaluate the project and the alignment with County's goals and objectives of the contract, and evaluate compliance in accordance with the federal timeline requirements for the expending of the ARPA funds. The Order stopped any further expenditures and also requested more information from HICHC. The Order was effective until June 13, 2025. In its April 24, 2025 response, HICHC provided that the operation of the Crisis Stabilization Unit could not start until January 2026 and would not be a 24/7 operation as stated in the contract terms. Additionally, HICHC asked the County to pay for its entire rental facility operations costs, beyond those allowable ,costs for the Crisis Stabilization Unit. In May, 2025, discussions between the Office of the Corporation Counsel and HICHC's attorney occurred involving the County's intent to cancel the Order and request to mutually terminate the contract because of the operational concerns and likely inability of the County- to expend the ARPA funds by the December 31, 2026 deadline. In June, 2025, HICHC sought an extension of the Order to July 11, 2025, and the County granted its request. Between May and June, there were ongoing discussions about what the County could legally pay HICHC for expenses incurred under the contract. On July 11, 2025, a Supplemental Agreement was signed by COH and HICHC to mutually terminate the contract. The Supplemental Agreement required HICHC to return upsent funds in the total of $498,248.84. Funds spent on the contract were $78,501.16 for salaries, wages, fringe and travel related to work done within the scope of the contract. The County denied HICHC's request to pay for furniture in the amount of $54,054.40. On September 19, 2025, the County received $498,248.84 back from HICHC. If you have any questions prior to the October 7th meeting date, please contact me at 808-961-8501. Sincerely, enni L' Deput irector Department of Research and Development Enclosure(s) Copy of Executed Contract HICHC Expenses cc: C. Kimo Alameda, Ph. D, Mayor Diane Nakagawa, Finance Director Keyra Wong, Deputy Corporation Counsel C. Kimo Alameda, Ph.D. Mayor William V. Brilhante, Jr. Managing Director County of Hawaii Finance Department 25 Aupuni Street, Suite 2103 • Hilo, Hawai'i 96720 (808) 961-8234 9 Fax (808) 961-8569 VIA CERTIFIED MAIL 7018 0040 0000 3536 0786 RETURN RECEIPT REQUESTED VIA E-MAIL TO RTAAFFE(a HICOMMUNITYHEALTHCENTER.ORG April 14, 2025 Mr. Richard J. Taaffe Chief Executive Officer West Hawaii Community Health Center dba Hawaii Island Community Health Center 75-5751 Kuakini Highway, Suite 203 Kailua-Kona, Hawaii 96740 Rtaaffe@hicommunilyhealthcenter.org Diane Nakagawa Director Malia A. Kekai Deputy Director RE: STOP WORK ORDER EFFECTIVE IMMEDIATELY FOR RFP NO.4575 COUNTY OF HAWAI'I STATE AND LOCAL FISCAL RECOVERY FUNDS COMMUNITY -BASED MENTAL HEALTH CENTER Dear Mr. Taaffe, Pursuant to Hawaii Administrative Rules § 3-125-5 and § 3-125-6 and Sections 12.4 and 12.5 of the County of Hawaii, Department of Finance General Terms and Conditions for Goods and Services, dated May 10, 2023, this letter serves as a formal STOP WORK ORDER for all activities related to the Service Contract, dated December 2, 2024, between the COUNTY OF HAWAI`I ("County") and WEST HAWAI`I COMMUNITY HEALTH CENTER dba HAWAI`I ISLAND COMMUNITY HEALTH CENTER ("HICHC"), effective immediately. Reason for Stop Work Order: The issuance of this Stop Work Order is necessitated by HICHC's April 7, 2025 written response to the County (attached as Attachment 1) and its inability to establish a new Community -Based Mental Health Center, with a 24/7 crisis stabilization unit, as required and set forth in the Service Contract. The County therefore requires this Stop Work Order to evaluate realignment of the Count goals and objectives of this Service Contract. Hawaii County is an Equal Opportunity Employer and Provider Mr. Richard J. Taaffe West Hawaii Community Health Center dba Hawaii Island Community Health Center Page 2 of 5 Compliance Requirements: 1. Work Suspension: HICHC is required to immediately cease all work specified under the Service Contract, including but not limited to: (a) halting any further orders for materials or services related to the Service Contract; (b) entering into employment contracts with staff and other personnel to carry out the specific activities outlined in the Service Contract; and (c) canceling any travel arrangements that would be associated with, and paid for by, this Service Contract. 2. Subcontractor Actions: HICHC shall take appropriate actions concerning any subcontracts to ensure compliance with this order. 3. Cost Minimization: Immediately implement all reasonable measures to minimize costs associated with the work stoppage during this period. 4. Address Questions: In an effort to assist the County in its evaluation and realignment of the County's goals and objectives of this Service Contract, respond in writing to the County no later than April 21, 2025, to the questions below. It shall be noted that the Apri17 20251etter did NOT sufficiently answer the CoOV's questions that were initially asked and discussed at the March 18, 2025 meeting and March 28, 2025 email from Mr. Yoshi Otake. a. Current Business Operations: Please identify current service provisions by your service providers and a current budget excluding the call center and , administrative functions. b. Other Government or Private Grants: Please identify all other sources of government or private funding that support the anticipated operations at 1178 Kino`ole Street. These may represent co-Iocated services fully supported by non - County funds. The County's funds should not be used to cover any expenses already supported or budgeted under these other grants. c. Reimbursement from Patient Services: Please provide a detailed explanation of whether reimbursements from various medical (billable) services are planned or budgeted to contribute to the rent/lease and other operational costs associated with this Service Contract. d. Facili , Occupancy and Staff Roles at 1178 Kino`ole Street: While the County acknowledges the implementation of integrated health services affects the entire facility, including the new 24-hour crisis stabilization services (23/59 model), the County requires clarification regarding the necessity of all staff members occupying the facility in relation to the specific scope of this Service Contract. Please identify all positions (whether funded by this Service Contract or not) that occupy the facility and clearly delineate their direct involvement in fulfilling the contractual obligations. The County's funds should not cover program -related or operational costs associated with personnel whose roles are not directly associated with delivering of the scope of services. e. Lease for-1 178 Kino`ole Street: Please provide a copy of the executed lease for this location if one has been signed. 2 Mr. Richard J. Taaffe West Hawaii Community Health Center dba Hawaii Island Community Health Center Page 3 of 5 f. Compliance with Material Terms of Contract: Please confirm ability to comply with the requirements of this Service Contract to begin the Crisis Stabilization Unit no later than July, 2025, and outline steps needed for starting operations. g. Comparative Analysis of Service Provision: Estimate service provision currently provided versus service provision anticipated under this Service Contract. Provide an estimate of the appropriate rent allocation for the functions being implemented under this Service Contract. Duration and Further Instructions: This Stop Work Order is effective for a period not exceeding sixty (60) consecutive days from the date of this Ietter. During this time, we will evaluate the situation and determine whether to cancel the Stop Work Order or proceed with a Service Contract amendment, or termination of the Service Contract. Any extension of this Stop Work Order will require a supplemental agreement and will be communicated in writing. Once your responses are received no later than April 21, 2025, the County will evaluate and schedule a meeting with you. This pause will enable the Hawaii Island Community Health Center to address concerns identified by Hawaii County Department of Finance and Department of Research and Development if we are to lift the stop order and permit this project to move forward. We look forward to your response and clarification. Should you have any questions, please contact me at (808) 961-8092. Respectfully, DIANE NAKA AWA Director of Finance, County of Hawaii cc: Victoria K. Hanes, Chief Operations Officer 3 Mr. Richard J. Taaffe West Hawaii Community Health Center dba Hawaii Island Community Health Center Page 4 of 5 §3-125-5 Authorization for a stop work order for goods and services contracts. (a) The paragraphs, or similar statements expressing the intent of the paragraphs set forth in section 3-125-6, shall be included in any fixed -price contract for goods and services under which work stoppage may be required for reasons such as advancements in the state of the art, production modifications, engineering changes, or realignment of programs. (b) Because stop work orders may result in increased cost by reason of standby costs, the orders shall be issued only with prior approval of the chief procurement officer, the head of a purchasing agency, or designees of either officer. Generally, use of a stop work order will be limited to situations in which it is advisable to suspend work pending a decision to proceed and a supplemental agreement providing for the suspension is not feasible. A stop work order may not be used in lieu of the issuance of a termination notice after a decision to terminate has been made. (c) Stop work orders shall not exceed sixty consecutive days and shall include, as appropriate: (1) A clear description of the work to be suspended; (2) Instructions as to the issuance of further orders by the contractor for material or services; • (3) Guidance as to action to be taken on subcontracts; and (4) Other instructions and suggestions to the contractor for minimizing costs. (d) Promptly after issuance, stop work orders should be discussed with the contractor and should be modified, if necessary, in light of such discussions. (e) As soon as feasible after a stop work order is issued: (1) The contract will be terminated; or (2) The stop work order will be canceled or extended in writing beyond the period specified in the order. (f) In any event, whether the contract is terminated or the stop work order is extended, action must be taken before the specified stop work period expires. If an extension of the stop work order is necessary, it must be evidenced by a supplemental agreement. Any cancellation of a stop work order shall be subject to the same approvals as were required for the issuance of the order. [Eff 12/15/95; am and comp NOV 171997 ] (Auth: HRS §§103D-202, 103D-501) (Imp: HRS § 103D-501) §3-125-6 Stop work orders for goods and services contracts. The following paragraphs, or similar statements expressing the intent of these paragraphs, shall be included in all goods and services contracts: (1) "Order to stoQwork. The procurement officer, may, by written order to the contractor, at any time, and without notice to any surety, require the contractor to stop all or any part of the work called for by this contract. This order shall be for a specified period not exceeding sixty days after the order is delivered to the contractor, unless the parties agree to any further period. Any order shall be identified specifically as a stop work order issued pursuant to this section. Upon receipt of an order, the contractor shall forthwith comply with its terms and take all reasonable steps to minimize the occurrence of costs allocable to the work covered by the order during the period of work stoppage. Before the stop work order expires, or within any further period to which the parties shall have agreed, the procurement officer shall either: 4 Mr. Richard J. Taaffe West Hawaii Community Health Center dba Hawaii Island Community Health Center Page 5 of 5 a (A) cancel the stop work order; or o (B) Terminate the work covered by the order as provided in the `termination for default clause' or the `termination for convenience clause' of this contract." • (2) "Cancellation or expiration of the order. If a stop work order issued under this section is canceled at any time during the period specified in the order, or if the period of the order or any extension thereof expires, the contractor shall have the right to resume work. An appropriate adjustment shall be made in the delivery schedule or contract price, or both, and the contract shall be modified in writing accordingly, if: o (A) The stop work order results in an increase in the time required for, or in the contractor's cost properly allocable to, the performance of any part of this contract; and o (B) The contractor asserts a claim for an adjustment within thirty days after the end of the period of work stoppage; provided that, if the procurement officer decides that the facts justify the action, any claim asserted may be received and acted upon at any time prior to final payment under this contract." (3) "Termination of stopped work. If a stop work order is not canceled and the work covered by the order is terminated for default or convenience, the reasonable costs resulting from the stop work order shall be allowable by adjustment or otherwise" (4) "Adjustment of price. Any adjustment in contract price made pursuant to this clause shall be determined in accordance with the price adjustment clause of this contract." [Eff 12/15/95; am and comp NOV 171997 ] (Auth: HRS §§103D-202,103D-501) (Imp: HRS § 103D-501) P1 m tsi 19 G IT N N 5n O) N 0 cn N N 0 ccni, N N 0 I cm N a I cn N 0 CJI N 0 lcn m a N O CD IQ N O C" d O: o °$ ::E Z a -o -t o S S S v v m D Pi 0 N T x CD O O tCll p ^ _ = CD ty CD f31 CD fU CF7 C. _ N' CO b r. X O �. C7 C7 C7 a a II Q S C C 5 O 0 N CD '9 C• N t0 !D CD CD C n CD y' o COD Q Of (D E UQ .n C n (D n- C C N N co .X WCL CCi = Q IDCD CO N n 7 O N N (7 CD: Z' ar 751 CD -CD O CD O 0D cn = A N a t Cl a O CO Cf CO O ^ N a v, CD N n to COi O O CS 3 CD C CD O a y ^ X O a cD m sv DR f: O j y CD 'CD C. y ,G N O CD O' a � N N D=4 3 O ,J.' CD Q CD CD Cn C rr S C CS O CO a j CD R 9 C CX < N O C, � o B Q a er o_ CD :Zr CD n C UQ �O m Cn Q W O CD 3 07 C A .O = (A N CD = C. CD C m y c a o 6 °' 3 m, n 0' m °c A 3 ^ CD .0 CD Q. N— N CoCdj O ? 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AGREEMENT NO, I THIS SUPPLEMENTAL AGREEMENT *NO. 1 made and entered Into this k' day of A. D. 2025 (hereinafter referred to as the "Effective Date'j, by and between the COUNTY OF HAWAII, a municipal corporation of the State of Hawai` i, hereinafter referred to as "'County"', and, WEST HAWAII COMMUNITY HEALTH CENTER tuba HAWAI'I ISLAND COMMUNITY HEALTH CENTER. of 75-5751 Kuakini Highway, Suite 203, Kailua-Kona, HI 96740, hereinafter referred to as "Contractor", WITNESSETH THAT: WHEREAS, the parties hereto have entered into a contract dated December 2, 2024, FORTIHE COUNTY OF HAWAII STATE AND LOCAL FISCAL RECOVERY FUNDS COMMUNITY BASER MENTAL HEALTH CENTERo PER REQUEST FOR PROPOSAL No, 4575, which contract is hereinafter referred to as the "Agreement"; and WHEREAS, pursuant to Hawaii Administrative Rules § 3-125-5 and § 3- 125-6 and Sections 12.4 and 12.5 of the County of Hawaii, Department of Finance General Terms and Conditions for Goods and Services, dated May 10, 2023, the County issued to the Contractor a Stop Work Order, dated April 14, 2025, for all activities relating to the Agreement. WHEREAS, pursuant to Hawai'i Administrative Rules § 3-125-5(f), if an extension of the Stop Work Order is necessary, it must be evidenced by a supplemental agreement; and WHEREAS, the parties hereto now desire to execute this Supplemental Agreement No. i for the purposes of extending the Stop Work Order, dated April 14, 2025, to July 11, 2025. NOW, THEREFORE, the Stop Work Order, dated April 14, 2025, is changed in the following respects only: 1. Extension: The Stop Work Order shall continue in effect from April 14, 2025 to July 11, 2025. IT IS FURTHER UNDERSTOOD AND AGREED that all other directives in the Stop Work Order, including Work Suspension, Subcontractor Actions, and Cost Minimization, shall remain in effect throughout the duration of the Stop Work Order, to July 11, 2025. This Supplemental Agreement No. 1 may be executed by the respective parties in counterparts, each of which shall be deemed an original. All such counterparts together shall constitute one and the same document, binding the parties hereto notwithstanding that the parties are not signatory to the same original or counterparts. IN WITNESS WHEREOF, the parties hereto have executed this Supplemental Agreement No. 1 on the day and year written above. CONTRACTOR WEST HA.WAI'I COMMUNITY HEALTH CENTER dba HAWAI'I ISLAND COMMUNITY HEALTH CENTER CORPORATE SEAL vG� (If Available) By: Print: (Z Title: Lc, o COUNTY OF HAWAV I By: Print Name and Title WILLIAM V. BRILHANTE, JR Managing Director 2 ECOMMEND PPROVAL: PA ' ME T 0 ' RESEARCH AND DEVELOPMENT COUNTY OF WAI' I APPROVED AS TO FORM Approved as to Availability of Funds III the amounts and for the purposes r.3t forth herein. DIRECT F flNANC{ JUL - 7 2025 P C. Kimo Alameda, Ph.D. Mayor William V. Brilhante, Jr. Managing Director County of Hawaii Finance Department 25 Aupuni Street, Suite 2103 • Hilo, Hawaii 96720 (808) 961-8234 9, Fax (808) 961-8569 Mr. Richard J. Taaffe Chief Executive Officer West Hawai'i Community Health Center dba Hawai'i Island Community Health Center 75-5751 Kuakini Highway, Suite 203 Kailua-Kona, Hawaii 96740 Rtaaffe .hicommunityhealthcenter.ora RE: FUNDS COMMUNITY -BASED MENTAL HEALTH CENTER Dear Mr. Taaffe, Diane Nakagawa Director Malia A. Kekai Deputy Dimclor Pursuant to Hawaii Administrative Rules §§ 3-125-5, 3-125-6 and Sections 12.4 and 12.6 of the County's General Terms and Conditions, the Stop Work Order, dated April 14, 2025 is hereby canceled, with the effective cancellation date being July 11, 2025. Respectfully, DIANE NAKAGAWA Director of Finance, County of Hawai'i Hawal'i County Is an Equal Opportunity Employer and Provider THIS SUPPLEMENTAL AGREEMENT NO. 2 made and entered into this 111h day of 3 u I y A. D. 2025 (hereinafter referred to as the "Effective Date'j, by and between the COUNTY OF HAWAI I, a municipal corporation of the State of Hawai' i, hereinafter referred to as "County", and, WEST HAWAI'I COMMUNITY HEALTH CENTER dba HAWAI'I ISLAND COMMUNITY HEALTH CENTER, of 75-5751 Kuakini Highway, Suite 203, Kailua-Kona, HI 96740, hereinafter referred to as "Contractor", WITNESSETH THAT: WHEREAS, the parties hereto have entered into a contract dated December 2, 2024, FOR THE COUNTY OF HAWAII STATE AND LOCAL FISCAL RECOVERY FUNDS COMMUNITY BASED MENTAL HEALTH CENTER, PER REQUEST FOR PROPOSAL NO.4575, which contract is hereinafter referred to as the "Agreement"; and WHEREAS, on July 11, 2025, the parties executed a Supplemental Agreement No. 1 for purposes of extending the effect of the Stop Work Order from April 14, 2025 to July 11, 2025; and writing; and WHEREAS, the Agreement may be modified according to its terms; and WHEREAS, the parties hereto now desire to amend the Agreement in WHEREAS, the parties mutually agree that early termination of the Agreement is in the best interests of the parties, and the early termination shall not be construed as a termination for convenience, termination for cause, or default of either of the parties; and WHEREAS, upon execution of the Agreement, the County paid to the Contractor $576,750.00, of which the Contractor spent $78,501.16 for the scope of work under the Agreement; and County. WHEREAS, the Contractor agrees to return all unused funds to the NOW, THEREFORE, the Agreement entered into on December 2, 2024, between County and Contractor shall be, and is hereby modified, altered, and changed in the following respects: 1. TERM: The Agreement shall terminate as of the Effective Date of this Supplemental Agreement No. 2. 2. COMPENSATION: Upon execution of this Supplemental Agreement No. 2, the Contractor shall return to the County $498,248.84, which is the unused balance of $576,750.00 paid to the Contractor upon execution of the Agreement. IT IS FURTHER UNDERSTOOD AND AGREED that, as of the Effective Date of this Supplemental Agreement No. 2, each party releases the other from their respective rights, duties and obligations existing under the Agreement. IT IS FURTHER UNDERSTOOD AND AGREED that the parties will promptly and fully cooperate with each other in good faith and at no cost to the other party if further documents or actions are required to either (1) effectuate the terms or intent of this Supplemental Agreement No. 2; or (2) report to the U.S. Department of Treasury for purposes of compliance and reporting of expenditures to the federal government. IT IS FURTHER UNDERSTOOD AND AGREED that in consideration of the foregoing, and but for the obligations arising pursuant to this Supplement Agreement No. 2, the parties hereby fully and forever release, acquit, and forever discharge the other party, including their respective officers, directors, employees, agents, successors and assigns from any and all claims, demands, actions, causes of action, damage, liabilities, costs and expenses of every kind and nature, known and unknown, which such party may now have or claim to have, arising out of or related to the subject matter of this Supplemental Agreement No. 2. Each party further agrees to indemnify and hold harmless the other party from and against all claims, demands, damages or expenses arising from any claims related to this Supplemental Agreement No. 2. This provision is intended to be construed as broadly and inclusively as permitted under the laws of the State of Hawaii. 2 IT IS FURTHER UNDERSTOOD AND AGREED that the terms and existence of this Agreement, and any communications, negotiations, correspondence between the parties, or documents relating to the underlying subject matter of the Supplement Agreement No. 2, and any dispute related thereto, other than those subject to public disclosure requirements bylaw of the County and State of Hawaii, shall be kept strictly confidential and shall not be disclosed to any third party except: (a) as required by law, regulation or court. order; (b) to the parties' respective attorneys, tax advisors, or accountants, provided such recipients agree to maintain confidentiality; or (c) as necessary to enforce the terms of the Supplement Agreement No. 2. No party shall make any public statement, press release, or other disclosure regarding the subject matter of the Supplemental Agreement No. 2, or other disclosure regarding the Supplemental Contract No. 1 without the prior written consent of the other party. IT IS FURTHER UNDERSTOOD AND AGREED that the parties shall bear their own fees and costs, including any attorneys' fees and costs. This Supplemental Agreement No. 2 may be executed by the respective parties in counterparts, each of which shall be deemed an original. All such counterparts together shall constitute one and the same document, binding the parties hereto notwithstanding that the parties are not signatory to the same original or counterparts. IN WITNESS WHEREOF, the parties hereto have executed this Supplemental Agreement No. 2 on the day and year written above. CONTRACTOR WEST HAWAI'I COMMUNITY HEALTH CENTER dba HAWAI'I ISLAND COMMUNITY HEALTH CENTER CORPORATE SEAL 01 (If Available) By: ;9��VLd� Print: -e 3 Title: L p COUN F HAWAVI By: Print Nameaad9 i e WILLIAM V. BRILHANTE, A Managing Director 3 RE C MEND APPROVAL: DE ARTMENT OF RESEARCH AND DEVELOPMENT COUNTY OF HAWAI' I APPROVED AS TO FORM & EJGALITY gUO,tdlCOUNSEL Date TWAI�I December 2, 2024 TO: WEST HAWArI COMMUNITY HEALTH CENTER dba HAWArI ISLAND COMMUNITY HEALTH CENTER FROM: DIRECTOR OF FINANCE SUBJECT: REQUEST FOR PROPOSAL NO. 4575 COUNTY OF HAWAI`I STATE AND LOCAL FISCAL RECOVERY FUNDS COMMUNITY -BASED MENTAL HEALTH CENTER NOTICE TO PROCEED This is to inform you that the proposal for the subject invitation for bid has been approved and accepted. All terms and provisions of the proposal shall remain in effect. Attached for your files is a fully executed copy of the Agreement as well as a copy of your proposal. Attachments cc: R&D NICOLE CHARON Acting Purchasing Agent Hawaii County is an Equal Opportunity Provider and Employer AGREEMENT THIS AGREEMENT made and entered into this day of vcc m . 2024, by and between the COUNTY OF HAWAI 'I, hereinafter called the "County", and WESTHAWA17 COMMUNITY HEALTH CENTER dba HAWA17ISLAND COMMUNITY HEALTH CENTER, of 75-5751 KUAKINI Highway, Suite 203, Kailua-Kona, Hawaii 96740, hereinafter referred to as "Contractor", WI TNESSETH THAT: WHEREAS, the written offer of the Contractor has been accepted by the County of Hawai' i as the responsive and responsible offer submitted pursuant to a call for offers: NOW, THEREFORE, in consideration of the mutual promises hereinafter set forth, the parties agree as follows: A. Scope of Work: The Contractor agrees to provide the following: COUNTY OF HAWAYI STATE AND LOCAL FISCAL RECOVERY FUNDS COMMUNITY - BASED MENTAL HEALTH CENTER, PER REQUEST FOR PROPOSAL NO.4575 PRICING: $3,845,000.00 in accordance with the Contractor's RFP#4575 Community -Based Mental Health Center Proposal attached TERM: Beginning from date of Notice to Proceed and ending on October 31, 2026. TOTAL CONTRACT AMOUNT: $3,845,000.00 All in strict accordance with the terms and conditions of this Agreement, it is understood that this Agreement Includes as a part hereof the General terms and Conditions, dated May 10, 2023, and the Request for Proposal No. 4575, Including the offer, Special Provisions and Specifications contained; therein, which are attached hereto. B. Compensation. As compensation for the items to be provided by the Contractor, the County agrees to pay the Contractor THREE MILLION, EIGHT HUNDRED FORTY-FIVE THOUSAND AND 00/100 DOLLARS ($3M5,000.00), at the time and in the manner set forth in the Offer Specifications. C. Services. It is understood and agreed that any services to be provided in accordance with the terms of this contract may be terminated Immediately, In whole or in part, a c 11 upon finding by the County that these services must be provided by public employees, pursuant to Civil Service Laws or that such services will be discontinued. It is further understood, that should such a finding be made, the County will not be liable under this contract for any resulting damages, and such termination will not be considered a breach of this agreement. D. Code Of Ethics. Contractor has complied with Hawaii County Code §2-83(c), If applicable. Contractor understands and agrees that this contract shall be void if an officer or employee fails to comply with the disclosure requirements set forth in §2-83(c), or if the Board of Ethics finds there is a conflict of interest or any preferential treatment involved. IN WITNESS WHEREOF, the parties hereto have executed this Agreement on the day and year first above written. CORPORATE SEAL (If A vallable) APPROVED AS TO FORM & �AlTY: r, Ia/-/zbzY DEPUTYCORP C IRA T 10 ME L Date COUNTY 0V' I WEST HAWAI`I COMMUNITY HEALTH CENTER dba HAWAI`I ISLAND COMMUNITY HEALTH CENTER l By: Print:�— Title, COUNTY OF HAWAVI Sign: 0 /° A--� DEC 02 2024 Print: DEANNA S. SAKO Date Title: MAYOR OFFICE OF THE MAYOR 4SS S. ADAMS, Director ' Date vent of Research and Development of Hawall Z� COUNTY OF HAWAN DEPARTMENT OF FINANCE - PURCHASING DIVISION 25 AUPUNI STREET c;...— HILO, HAWAI'I 96720 SHIP TO: Special Inst: VENDOR: 29173 WEST HAWAII COMMUNITY HEALTH CENTER 75-5751 KUAKINI HWY STE 203 KAILUA KONA, HI 96740 Page 1 / 1 �.OR(GINAL�POy'D`ATE*M-012335 12/02/209A E Hawaii County is an Equal Opportunity Provider and Employer FOB Point: Terms: Req. Del. Date: Req. No.: Dept.: A/P Net 30 Days fnac.00572 Contact Name: OTAKE, YOSHI Contact Phone: (808)961-8496 Confirming? No (If Yes, DO NOT Duplicate) tY tt.;� +al40:'Rtm� }: ^.ii:'n.<: uT,:y3�s- "Y%v—`:.Ak:3":?"i.?.i:.- 2 d, a�N; . :.r LR ',�.4 :x:��:� %��,���,..,;� �"`a��.a.��'a :�;�egcri tiob. zs ., � ,� ��. �-,.�`- s �� ...�R�_.7.� :.:� ��,�'�, ?' ,w.g..Y1.> tc�':,:t _ � >,�$�'�UnitvEricea��� yy.a, , sx Ext,,Price;�,:�krt. RFP 4675 - Community -Based Mental 3,845,000.00 Health Center The goal of the Center is to enhance access to mental health services, including crisis stabilization, and develop a sustainable operation beyond the grant period. Federal ARPA Funds Used SUBTOTAL 3,845,000.00 0.00 BILLTO: RESEARCH & DEVELOPMENT TAX 25 AUPUNI ST FREIGHT 0.00 SUITE 1301 TOTAL 3,845,000.00 HILO, HI 96720 INSTRUCTIONS: This order is subject to the terms and conditions of the above referenced Request for Quotes (RFQ), Invitation for Bids (IFB) or Request for Proposals (RFP). Shipping and freight charges shall be FOB Destination Prepaid and Allowed unless otherwise noted. Invoices shall include the Purchase Order Number, with the original invoice and one copy being mailed or delivered to the BILL TO: address listed above. No changes or modifications to the terms, quantities or specifications shall be made without written authorization from the Purchasing Division. PURCHASING AGENT Attachment A: Scope of Work UP NO.4575 Community -Based Mental Health Center West Hawai'i Community Health Center dba Hawaii Island Community Health Center Table of Contents 1) Entity Description 1 a) Brief Description 1 b). Principals' Statement of Qualifications 2 c) Economic Contribution 3 d) Community Served 3 2) Community Benefit 4 a) History of Creating Community Benefits 4 b) Community Benefits with Impactful, Measurable Outcomes 4 c) Direct and Indirect Beneficiaries 5 3) Project Description 7 a) Experience 7 b) Alignment with Scope of Work 8 c) Service Delivery Plan 8 4) Staffing and Personnel 16 a) Staff Qualification 16 b) Staffing Plan 18 c) Staffing Development -19 d) Staffing Contingency Plan 20 5) Financial and Sustainability 21 a) Total Finding Request 21 b) Budget Narrative 21 c) Revenue Generation 22 d) Financial Management 22 e) Sustainability Plan 23 f) COVID-19 Aid 23 g) ProjectTlmeline 24 6) Evaluation and Performance Measurements 25 a) Performance Measures 25 b) Data Collection and Reporting 26 c) Quality Improvement 27 Attachment A: Scope of Work 1) Entity Description a) Brief Description Hawaii Island Community Health Center (H ICHC) promotes lifelong health and wellness through quality healthcare that is comprehensive, integrated, culturally responsive, and accessible to all. HICHC serves underserved communities across 20 zip codes on Hawaii Island (96738, 96740, 96725, 96750, 967z6, 96704, 96737, 96772, 96777, 96785, 96778, 96771, 96760, 96749, 96720, 96781, 96783, 96710, 96728, and 96773), from Hilo in the east to Kona in the west and including the southern regions of Hawaii County. Our 14 health center locations provide essential services where access to medical care is often limited. H ICHC will serve all people who walk through our doors at the Hilo Community -Based Mental Health Center regardless of which zip code the live. As a Federally Qualified .Health Center (FQHC), HICHC offers a wide array of services to meet the diverse needs of our community. These include comprehensive primary medical care, dental services, and behavioral health care, addressing everything from chronic disease management to preventive services like immunizations, family planning, and prenatal care. Our behavioral health offerings include counseling, substance use disorder treatment, and mental health support to improve emotional well-being. Dental services range from preventive care to treatment of oral health issues. HICHC also operates six School -Based Health Centers, providing convenient access to healthcare for students, ensuring that young people receive medical attention without missing school. Our Reproductive Health Services offer family planning, contraceptive counseling, and sexual health education. Through our Perinatal Support Program, we assist expecting and new mothers with prenatal and postnatal care to promote healthy pregnancies and childbirth outcomes. We go beyond clinical care by offering insurance enrollment services, helping patients navigate Medicaid and other insurance options. We also support families through the Women, Infants, and Children (WIC) nutrition program, which provides food and education to low-income families. Our Care Coordinatibn Program works with individuals who require assistance in managing complex health needs, ensuring they receive consistent, personalized care. Through our Street Medicine Outreach Program, we bring medical care directly to homeless individuals, providing on -the -ground health services to those who may not otherwise seek care. To ensure that language is never a barrier, we offer language translation services in multiple languages, promoting culturally competent care for our diverse patient population. In addition, HICHC has a Referrals Department to connect patients with specialized care when needed, and an in-house pharmacy program, allowing patients to conveniently access medications at affordable prices. H ICHC's commitment to care is inclusive and comprehensive ensuring no one is turned away based on their ability to pay. We do not discriminate on the basis of race, color, national origin, religion, sex, age, sexual orientation, or ability. Through our mission, we work to uplift the communities of Hawaii Island, providing a holistic approach to health that extends beyond traditional healthcare models. Attachment A: Scope of Work HICHC has a long history of financial, organizational, and quality clinical care and program excellence. In 2022 HICHC received four federal H RSA quality recognition awards, including the National Quality Leader in Behavioral Health Award, which ranks our Behavioral Health Department in the top 1- z% of all Federally Qualified Health Centers, exceeding national benchmarks for clinical quality measures. HICHC also received the Quality Health Leader Award -Bronze level, ranking HICHC in the top 21-30% of all FQHCs nationally for achieving the best overall clinical quality measure (CQM) performance among all health centers. In addition, HICHC received the Advancing Health Information Technology for Quality Award for optimizing health information technology services, advancing telehealth, and improving patient engagement, interoperability, and the collection of social determinants of health to increase access to care and advancing quality care. HICHC has Patient Centered Medical Home (PCHM) recognition for all sites currently included under our HRSA 330e grant. b) Principals' Statement of Qualifications H ICHC.is managed by a team of highly qualified and experienced professionals who are committed to the long-term sustainability and success of the organization. Leading the team is Richard Taaffe, Chief Executive Officer, whose visionary leadership has been instrumental in shaping HICHC's growth and community impact. Dr. Victoria Hanes, Chief Operating Officer, ensures that daily operations run smoothly and efficiently, while Diane Pautz, Chief Financial Officer, oversees the financial health and strategic planning for the organization. Our clinical services are guided by a team of experts, including Dr. Katherine May, Director of Behavioral Health, who brings a wealth of experience in mental health and substance use treatment; Chris Piel, Medical Director, who leads our primary care services with a focus on patient -centered care. Several people on this senior leadership team have been with HICHC for over a decade, demonstrating their unwavering commitment to the organization and its mission. Their collective expertise and deep-rooted dedication to the community have played a vital role in ensuring the long- term sustainability and continued growth of HICHC. Bio-sketches for each member of our senior leadership team are provided below: Richard Taaffe, CEO: Richard Taaffe is the CEO of HICHC. He arrived in Hawaii in zoos to lead the West Hawal'i Community Health Center (WHCHC), which at the time had just six staff members, three exam rooms, and served goo patients. Under his leadership, WHCHC merged with Bay Clinic on July 1, zozz, forming the Hawaii Island Community Health Center (HICHC). Today, HICHC employs 450 staff members and serves nearly 37,000 patients across 14 clinical sites located in North and South Hilo, Puna, Ka`u, South and North Kona, and South Kohala. Dr. Victoria Hanes, COO: Dr. Victoria Hanes holds both an M.A. and Psy.D. in Clinical Psychology from Argosy University Hawaii. She completed her internship and post -doctoral fellowship with I Ola Lahui, a rural behavioral health training program, serving diverse communities across the Hawaii an Islands, including Lanai, Molokai, and rural areas of East and West Oahu. In 2o16, Dr. Hanes earned a Master of Science in Psychopharmacology from the University of Hawaii Hilo and continues to advocate for clinical psychologists' prescriptive authority in Hawaii and beyond. Attachment A: Scope of Work Diane Pautz, CFO: Diane Pautz serves as the Chief Financial Officer for HICHC, bringing over 30 years of experience as a Finance Director for multi -service health and social service organizations. She has spent 18 years with HICHC and an additional to years in Alaska, where she gained extensive experience working with multi -cultural and Native Alaskan populations. Dr. Kathrine May, Director of Behavior Health: Dr. Katherine Knezek May, Psy.D., CSAC, TTS, is the Director of Behavioral Health at HICHC. A licensed Clinical Psychologist, Certified Substance Abuse Counselor, and Tobacco Treatment Specialist, Dr. Knezek May has been with HICHC for nine years, serving in her current leadership role for four years. Chris Pie[, Medical Director: Chris Pie] has served as the Medical Director at HICHC since zozi. In his first year, he successfully navigated the challenges of a HRSA site visit and the Delta wave of the COVID-i9 pandemic. He also played a critical role in overseeing the merger that transformed HICHC into the largest rural Federally Qualified Health Center(FQHC) in Hawaii and led the transition to the Epic electronic health record system, consolidating two legacy EHR systems. c) Economic Contribution HICHC plays a significant role in the economic health and vitality of Hawaii County. With an annual operating budget of $54,000,000, HICHC not only delivers essential healthcare services but also drives substantial economic activity across the region. As one of the largest employers on Hawa[`i Island, HICHC provides stable, full-time employment to 465 individuals, supporting local families and contributing to the broader economic ecosystem. Through competitive wages, benefits, and local procurement, HICHC bolsters the economy while improving the health and well-being of the community. By sustaining a large workforce and continually investing in healthcare infrastructure, HICHC strengthens both the healthcare sector and the financial stability of Hawaii County. d) Community Served As a Federally Qualified Health Center (FQHC), H ICHC serves as a vital safety net for the most vulnerable populations across Hawaii County. Our service area includes communities that often face significant barriers to healthcare, such as rural isolation, economic hardship, and limited access to medical providers. Many of the individuals and families we serve are uninsured, underinsured, or living at or below the federal poverty line. HICHC is dedicated to providing essential primary healthcare services —including medical, dental, and behavioral health care —to underserved populations, ensuring that no one is turned away due to their ability to pay. Our commitment extends to the elderly, the homeless, individuals with chronic conditions, and those facing mental health and substance use challenges. We also serve Native Hawaii an populations and other culturally diverse communities, offering care that is respectful and responsive to the unique needs of each group. By focusing on preventive care, early intervention, and comprehensive treatment, HICHC helps to reduce health disparities and improve outcomes for those who are most at risk. We are proud to be a Attachment A: Scope of Work dependable resource for those who may otherwise go without care, fostering better health and well- being throughout the County of Hawaii. 2) Community Benefit a) History of Creating Community Benefits H iCHC is an indispensable asset to the County of Hawaii, delivering critical services as both a safety net healthcare provider and a significant driver of economic opportunity. As a Federally qualified Health Center (FQHC), HICHC fulfills a vital role in ensuring access to essential healthcare for the most vulnerable populations, including low-income families, the uninsured, the homeless, and those facing complex medical and behavioral health challenges. Our comprehensive services —spanning primary medical, dental, behavioral health, reproductive health, and preventive care —reach every corner of Hawaii Island, addressing the diverse needs of underserved communities. Beyond healthcare, HiCHC contributes significantly to the economic well-being of the island. With a $54,000,000 annual budget and 465 full-time employees, we are one of the largest and most stable employers in the region. HICHC provides residents with professional, well -compensated positions in healthcare and administration, fostering economic growth while empowering individuals to pursue fulfilling careers in their home communities. Our investment in local talent strengthens the island's workforce, creating opportunities for advancement and long-term employment. HICHC is also deeply embedded in the fabric of the community through collaborative partnerships With other influential community -based organizations. We work alongside the hospital systems and CBO's, such as HOPE Services Hawaii, Neighborhood place of Puna/Kona, etc., to coordinate care and address the social determinants of health —such as housing instability, food insecurity, and transportation barriers —that have a profound impact on individual and community health. Together, we amplify our efforts to uplift and support the people of Hawaii Island, ensuring that critical services are not only accessible but also culturally responsive and aligned with the unique needs of our diverse population. HICHC's community impact is far-reaching, from providing life-saving healthcare services to driving economic stability, fostering partnerships, and advancing public health. We remain committed to improving the overall health and quality of life for all residents of Hawaii County, strengthening our communities today and for generations to come. b) Community Benefits with Impactful, Measurable Outcomes Establishing a Community -Based Mental Health Center in Hilo will create impactful and measurable outcomes for the community by addressing a critical gap in immediate mental health services. Such a facility will provide a safe, accessible space for individuals experiencing mental health crises, reducing reliance on emergency rooms and law enforcement interventions, which are often not equipped to handle complex behavioral health issues. Key measurable outcomes include: Reduced Emergency Room Visits: By diverting behavioral health emergencies away from hospitals, the Crisis Center will alleviate overcrowding in emergency rooms, freeing up medical Attachment A: Scope of Work resources for acute physical health issues. This will lead to shorter wait times and better overall healthcare system efficiency. Decreased Law Enforcement Engagement: A dedicated crisis center will decrease the need for law enforcement involvement in mental health situations, ensuring individuals in crisis receive appropriate care from trained behavioral health professionals. This will result in fewer arrests and jail time for individuals whose primary issue is mental health -related, leading to better health and social outcomes. improved Continuity of Care: The 24/7 availability ensures that individuals in crisis receive timely intervention,reducing the likelihood of escalation and hospitalization. Immediate crisis stabilization, followed by connection to ongoing care, will improve long-term health outcomes by ensuring seamless care coordination and follow-up services. Lower Rates of Suicide and Self -Harm: Immediate access to crisis intervention services has been proven to reduce suicide attempts and incidents of self -harm. The presence of a crisis center will provide life-saving support, including suicide prevention measures, to those at the highest risk. Reduced Homelessness and Substance Use: By integrating services for co-occurring disorders, such as mental health and substance use, the Crisis Center will address root causes of homelessness and addiction, leading to reductions in homelessness rates and improved substance use recovery outcomes in the community. Strengthened Community Mental Health: With round-the-clock access to crisis care, individuals will be stabilized in their own community, helping to reduce stigma around mental health and ensuring that families and caregivers have a place to turn for help in times of need. This will foster greater public awareness and destigmatization of mental health issues over time. By offering specialized, immediate care in a safe, supportive environment, a Community -Based Mental Health Center in Hilo will significantly improve the overall mental health and safety of the community, while yielding measurable benefits across the healthcare, criminal justice, and social service sectors. c) Direct and Indirect Beneficiaries A Community -Based Mental Health Center in Hilo would benefit a wide range of individuals and organizations, both directly and indirectly. The tables below show examples of Direct and Indirect Beneficiaries, as well as potential quantifiable benefits to these populations. Direct Beneficiaries of 24/7 BH Crisis Center in Hilo Attachment A: Scope of Work resource to turn to during mental health crises. ( Reduced ER wait times and Emergency Room Patients overcrowding by diverting Decrease in ER utilization for behavioral health crises by up mental health emergencies to to leading to shorter wait times for other patients. the Crisis Center. Individuals Experiencing Access to crisis stabilization services, reducing the need for Reduction in homelessness -related crises by offering Homelessness hospitalization and immediate intervention services and referrals to long-term incarceration care Crisis intervention for those Substance Use Disorder Patients ; with co-occurring mental Reduced overdose incidents or emergency responses health and substance use related to substance use. disorders. Indirect Beneficiaries of 24/7 BH Crisis Center in Hilo Indirect Beneficiary Benefit Quantifiable Benefit Decreased involvement in non- Law Enforcement violent mental health crises, Reduction in police calls for mental health crises by i freeing up resources for other lowering the strain on law enforcement resources. community safety needs. Fewer hospitalizations and ER Healthcare System visits due to effective crisis Reduction in hospital admission rates for behavioral health intervention and stabilization cases, lowering the overall cost of care. at the center. Reduction in the need for long - Local Government and Social term public assistance and housing due to early Decrease in demand for long-term mental health and Services Intervention and crisis housing services by treating crises early. stabilization. Reduced impact of untreated Schools and Educational Institutions mental health crises on students and families, Improvement in school attendance rates among students improving school attendance with mental health challenges due to timely intervention. and performance. Increased employee productivity and reduced Reduction in absenteeism or job loss among employees Employers and the Workforce absenteeism for Individuals who previously struggled with untreated mental health who receive early behavioral Issues. health support. By serving both direct and indirect beneficiaries the Community -Based Mental Health Center in Hilo will provide critical, measurable benefits across sectors, resulting in healthier individuals and communities while alleviating strain on public systems. When considering demographics of those served by this Community -Based Mental Health Center in Hilo, it is important to note that mental health disorders can affect anyone, but certain some groups are hit harder than others. Here's a snapshot of the demographics: Age: Mental health challenges don't discriminate by age, but young adults (18-25) have the highest rates of mental illness, with about 1 in 3 experiencing it. For teens, the numbers are also rising, especially with anxiety and depression. Gender: Women tend to report more mental health disorders than men. Roughly 23% of women in the U.S. deal with mental illness, compared to 16% of men. It doesn't mean men are doing better, though —many might be less likely to seek help or talk about it. Attachment A: Scope of Work Race and Ethnicity: Mental health disorders occur across all racial and ethnic groups, but the way they're experienced and treated can vary. For example, Native Hawaiians and multiracial adults report the highest rates, while Black, Hispanic, and Asian communities may face more barriers to care like access issues and stigma. Income: Money (or the lack of it) matters. People living below the poverty line are twice as likely to suffer from serious mental illness compared to those above it. Stress from financial instability can trigger or worsen mental health conditions. Veterans: Veterans, especially those exposed to combat, are at a higher risk of PTSD, depression, and anxiety. Around 17% of U.S. veterans suffer from mental illness. Consistent with our organizations mission, HICK will provide BH service to all people who walk through our doors, regardless of their race, color, national origin, religion, sex, age, sexual orientation, or ability to pay. 3) Project Description a) Experience H ICHC as a Federally Qualified Health Center (FQHC), is uniquely qualified to provide crisis mental health services to underserved communities throughout Hawaii County. With several decades of experience delivering integrated behavioral health and medical services, HICK has consistently served the most vulnerable and underserved populations across the island. Our commitment to comprehensive, patient -centered care is bolstered by our recognition for excellence by the Health Resources & Services Administration (H RSA), a testament to our long-standing financial, organizational, and clinical excellence. In zozz, HICK earned four prestigious federal HRSA quality recognition awards. Most notably, our Behavioral Health Department received the National Quality Leader in Behavioral Health Award, placing us in the top 1-2% of all FQHCs nationally, far exceeding benchmarks for clinical quality measures. Additionally, HICK was awarded the Quality Health Leader Award at the Bronze level, recognizing our organization in the top 21-30% of all FQHCs nationwide for achieving outstanding overall clinical quality measure performance. H ICHC's commitment to leveraging technology for improved patient care was further recognized with the Advancing Health Information Technology for Quality Award. This award highlights our achievements in optimizing health information technology, advancing telehealth, enhancing patient engagement, and improving interoperability and the collection of social determinants of health data, all of which have contributed to increased access to care and higher -quality outcomes. Furthermore, HICHC has earned Patient -Centered Medical Home (PCMH) recognition under our HRSA 33oe grant, affirming our dedication to providing comprehensive, coordinated, and accessible care to the communities we serve. Attachment A: Scope of Work With this foundation of excellence and our deep roots in serving Hawaii County's most vulnerable populations, HICHC is well -positioned to expand its services to include crisis mental health care, meeting the growing need for accessible, high -quality behavioral health services in underserved areas. b) Alignment with Scope of Work While providing 2417 behavioral health crisis intervention is beyond the current scope of services offered by H ICH.C, we believe that, with the support of this funding opportunity and partnership with the County of Hawaii, we are well -positioned to meet the requirements of this program as outlined in the RFP. Our decades of experience in delivering integrated behavioral health and primary care services to vulnerable populations, combined with our demonstrated organizational capacity and commitment to innovation, provide a solid foundation for this critical expansion of services. HICHC is prepared to establish and operate a 2417 Crisis Stabilization Center that offers immediate, short-term care for individuals experiencing a mental health crisis. We will implement a "no -wrong - door" policy, ensuring that services are accessible, welcoming, and accommodating for individuals at all levels of severity and cooperation. This approach will reduce barriers to care, fostering a safe and inclusive environment for all clients seeking assistance. To enhance the holistic well-being of those we serve, we will integrate primary care services on -site or through referrals, ensuring that clients' physical health needs are addressed alongside their mental health care. This integration will contribute to improved overall outcomes and promote long- term well-being for our clients. Additionally, HICHC will further develop our comprehensive care coordination system to help facilitate seamless transitions between crisis stabilization, integrated care, and community support services for patients utilizing the Center. This system will prioritize continuity of care, ensuring that clients receive the support they need from the moment they enter the Center, through their return to community -based services. 'Sustainability is central to our long-term vision for this program. HICHC will pursue sustainability through a combination of billable services and grant opportunities, allowing us to provide high - quality, crisis stabilization services that are financially viable and accessible for the long term. Sustainability will require ongoing partnerships at the County and State level. Through this strategic and coordinated approach, we are confident in our ability to fulfill the scope of work as outlined and deliver critical crisis intervention services to the County of Hawai.`i . c) Service Delivery Plan HICHC is committed to establishing a Community -Based Mental Health Center in Hilo. This Center will serve as a critical resource for individuals experiencing mental health crises, offering immediate care, stabilization, and seamless transitions to ongoing support services. The Center will integrate primary care and mental health services and work in close coordination with local agencies, service providers, and community organizations. The plan is designed in alignment with SAMHSA's National Guidelines for Behavioral Health Crisis Care Best Practices Toolkit, ensuring that our crisis services reflect the highest national standards for quality and efficiency. Attachment A: Scope of Work Target Population: HICK will serve a diverse and vulnerable population, focusing on those in Hawaii County experiencing acute behavioral health crises. This includes individuals with severe mental illness (SM I), co-occurring substance use and mental health disorders, adults, and families in crisis, as well as individuals facing homelessness. Our population will also include justice -involved individuals referred by law enforcement, people in contact with emergency medical services (EMS), and clients referred from primary care or community organizations. The focus is on serving individuals who face barriers to care due to socioeconomic, geographic, or insurance challenges, with particular attention to underserved and high -risk populations. Attachment A: Scope of Work Service Types and Organizational Structure of Staff Crisis Stabilization Services The Center will build capacity to operate 24/7, providing a full range of immediate care services for individuals in acute mental health crisis. The goal is rapid stabilization and treatment, with a commitment to ensuring no one is turned away. Services provided will include: Immediate Mental Health Assessment: All clients will undergo an initial assessment to determine the severity of their crisis and the appropriate level of intervention. Crisis Counseling and De-escalation: Licensed behavioral health clinicians will provide crisis de- escalation and counseling to stabilize the client emotionally. Psychiatric Evaluation and Medication Management: Psychiatric providers will be available for immediate evaluation and medication management, with prescriptions or adjustments provided on -site. Short -Term Observation and Monitoring: Clients will receive care in a structured environment, depending on their condition and needs. Continuous monitoring by RNs will ensure safety and medical stability. Peer Support and Recovery Coaching: Certified peer support specialists will be available to help clients navigate their crisis, offering emotional support and guidance from their own lived experiences. Discharge Planning and Care Coordination: Once stabilized, clients will be connected with ongoing behavioral health or social services, ensuring they receive follow-up care and long-term support. Integration of Primary Care Services HICHC's integrated care model will allow us to address both the mental and physical health needs of individuals in crisis. Primary care services will either be provided on -site or through warm handoff referrals to HICHC's network of primary care providers. Integration will include: Health Screenings: Upon arrival, clients will undergo physical health assessments, including vital signs and any necessary lab work or screenings to ensure there are no medical complications exacerbating their crisis. Chronic Disease Management: For clients with ongoing health conditions (e.g., diabetes, hypertension), H ICHC will ensure they receive the necessary medications and treatment. Linkage to Primary Care: Clients who do not have a primary care provider will be connected with J one at H ICHC to ensure continuity of physical health care following crisis stabilization. Telehealth Integration: For some clients, telehealth consultations will be used to provide more immediate access to primary care or specialist services without leaving the Center. Staffing Plan The Center will be staffed by a multidisciplinary team to ensure that all aspects of client care — physical, mental, and emotional —are addressed. Staff will wear identifiable uniforms and implement security measures as per training they will receive. Staffing will meet best practices for crisis intervention and stabilization and will include: 10 Attachment A: Scope of Work Behavioral Health Clinicians (Licensed Social Workers, Marriage and Family Therapists, Licensed Mental Health Counselors): These clinicians will provide direct crisis counseling, case management, and psychosocial support. At least two clinicians will be on duty at all times to ensure timely interventions. Psychiatric Providers (Psychiatrists, Psychiatric Nurse Practitioners): A psychiatrist or psychiatric nurse practitioner will be on -call, with in -person consultations available as needed. They will provide psychiatric evaluations, medication management, and ongoing mental health support during crisis stabilization. Registered Nurses (RNs): RNs will monitor clients' physical and mental health, administer medications, and assist with care coordination. Nurses will be critical in maintaining medical oversight and safety. Peer Support Specialists: Peer specialists, individuals with lived experience in recovery, will work alongside clinical staff to offer emotional and practical support to clients during crises, helping to build trust and engagement. Case Managers (Patient Navigators):. Case managers will ensure that clients are connected to follow-up services, social support, and other community resources after discharge. They will also coordinate care transitions between the Center and other providers. Administrative Support: Administrative coordinators will handle client intake, EHR documentation, scheduling, and logistics to ensure smooth operations. Service Utilization Data Collection Through EPIC EHR HICHC uses the EPIC electronic health record (EHR) system, which will be the backbone of our data collection efforts. Service utilization data will be collected in real-time and will include the following: Client Demographics and Health Histories: Documenting age, gender, ethnicity, socioeconomic status, and prior medical and mental health history. i Crisis Episode Details: Recording the nature of the crisis, interventions provided, and stabilization timelines. Clinical Outcomes: Tracking psychiatric assessments, medication administration, counseling sessions, and follow-up care. Referral and Discharge Data: Capturing the number of referrals made for primary care, social services, and community support, as well as tracking the follow-up outcomes. Performance Metrics: Monitoring the timeliness of care, length of stay, and overall effectiveness of the Center in resolving crises. Financial and Billing Data: Leveraging EPIC's revenue cycle management features to ensure billable services are documented properly for Medicaid, MedgUEST, and other payers. This data will inform quality improvement efforts, ensuring HICHC meets or exceeds both internal benchmarks and those set forth by funding bodies such as HRSA/Health and Human Services. r Increasing Resilience, Supporting Recovery, and Providing Relief to Consumers The services provided at the HICHC Community -Based Mental Health Center will focus on three key outcomes for individuals in crisis: resilience, recovery, and relief. Resilience: Through trauma -informed care and peer support, clients will develop coping strategies and emotional resilience that help them manage future crises more effectively. Recovery: HICHC's care model promotes a recovery -oriented approach, ensuring that clients not only stabilize during the crisis but also receive the tools and support needed to sustain long-term 11 Attachment A: Scope of Work recovery. This includes access to ongoing therapy, medication management, peer coaching, and community services. Relief: Immediate relief from distress will be a priority through rapid intervention and stabilization. Clients will have access to a safe environment, compassionate care, and evidence - based treatments to alleviate the emotional and psychological distress of their crisis. HICHC will provide food and beverages to clients as well to help relieve destress. The Center Overview: Staffing and Collaboration with Emergency Services The Center will operate in close collaboration with emergency services, including law enforcement, EMS, and local hospitals. To ensure a seamless transition of care: Emergency Service Protocols: Clear referral protocols will be established with law enforcement and EMS to direct individuals in crisis to the Center rather than emergency departments or jails, when appropriate. Direct Communication Channels: A 24-hour hotline will be available to ensure rapid communication between HICHC staff and emergency responders. In -Person and Telehealth Consultations: Psychiatric providers will offer real-time evaluations through telehealth when immediate in -person consultations are not possible. On -Site Medical Care: Registered nurses and PCP's will be available to handle medical needs on - site, reducing the need for unnecessary hospital visits. Effective Coordination of Services with Other Agencies and Partners H ICHC's Center will be an integral part of a broader care network. To ensure effective coordination, we will: Partner with Community Organizations: Collaborate with local shelters, housing organizations, and food programs to connect clients with social determinants of health support. HICK will maintain disposition responsibility for all referred cases. Justice System Collaboration: Work closely with the justice system to ensure that individuals diverted from law enforcement or returning to the community after incarceration receive mental health support. MedQUEST and Medicaid: Ensure that services are billed appropriately and that clients are connected to. Medicaid/MedQUEST coverage as part of their care coordination. Local Hospitals and Healthcare Providers: Create seamless referral pathways to primary care physicians, specialists, and hospitals for clients needing ongoing care or additional services. Government Entities and Contracted Service Providers: Collaborate with government personnel and contracted providers to ensure compliance, transparency, and quality in delivering services. Connecting Clients to Resources and Supporting Success HICHC's holistic approach will ensure that individuals are connected to the resources they need for long-term success: Peer Support: Peer specialists will provide ongoing recovery coaching, helping clients stay engaged with their treatment plans and navigate community resources. Peer support groups will also be offered as needed. Case Management: Our case managers will assist clients in accessing housing, employment, and financial assistance, as well as arranging ongoing behavioral health services. 12 Attachment A: Scope of Work Community Partnerships: Partnerships with local nonprofits, housing providers, and job training programs will be leveraged to support clients' reintegration into the community, ensuring they have the tools and resources necessary to succeed post -crisis. Through these efforts, HICHC will provide a comprehensive system of care that goes beyond stabilization to promote recovery and resilience, creating lasting change in the lives of the individuals we serve. Implementing the Community -Based Mental Health Center at HICHC in Hilo, brings numerous key benefits to the community, individuals in crisis, and the broader healthcare system. These benefits align with best practices in behavioral health crisis care and aim to address both immediate needs and long-term outcomes for vulnerable populations. Key Benefits of Implementing this Plan Improved Access to Crisis Care for Vulnerable Populations By establishing a 2417 Crisis Stabilization Unit (CSU), individuals in mental health crisis will have immediate access to high -quality care,, regardless of the time or day. This is especially important for underserved populations who may lack consistent access to mental health services due to financial, geographical, or insurance -related barriers. The no -wrong -door policy ensures that no one is turned away, providing essential care for those most in need. Reduction of Emergency Room (ER) and Law Enforcement Burden Emergency departments and law enforcement are often ill-equipped to manage mental health crises, leading to long wait times, insufficient care, and poor outcomes. The CSU will serve as a dedicated space for mental health crisis intervention, diverting individuals from ERs and reducing the strain on law enforcement. This allows for more appropriate care settings and a more efficient use of community resources, as individuals will be treated by specialized mental health professionals. Integrated Primary and Behavioral Health Care H ICHC's model integrates primary care and behavioral health, addressing both the mental and physical health needs of clients. This holistic approach improves overall outcomes by treating co- occurring health conditions that may exacerbate mental health crises. By addressing physical health issues on -site or through referrals, clients will experience better recovery and resilience. Comprehensive Care Coordination and Seamless Transitions The plan includes a robust care coordination system to ensure that clients are smoothly transitioned from crisis stabilization to ongoing services, whether they require behavioral health follow-up, primary care, housing, or social services. This prevents gaps in care, improves outcomes, and reduces the likelihood of clients returning to crisis situations. By partnering with other local agencies, justice systems, community organizations, and healthcare providers, the Center will create a more connected and cohesive support network for individuals in crisis. Enhanced Community Safety and Public Health By offering a dedicated space for mental health crisis care, this plan helps create a safer community by reducing incidents related to untreated mental health crises, such as homelessness, substance use, and interactions with law enforcement. Individuals receive 13 Attachment A: Scope of Work appropriate care, which contributes to better health outcomes, reducing the long-term public health impact of untreated mental health conditions. Promotion of Recovery and Resilience With trauma -informed care, peer support, and recovery -focused services, the Center will promote lasting recovery and resilience for clients. Peer specialists and case managers will ensure that individuals receive the emotional, practical, and clinical support necessary to regain stability and stay on a recovery path. This long-term focus helps reduce recidivism into the crisis system, as individuals are empowered to manage their mental health more effectively. Cost Efficiency and Financial Sustainability } By leveraging billable services through Medicaid, MedQUEST, and other funding sources, HICK will ensure that the CSU is financially sustainable. The diversion of individuals from ERs and law enforcement also leads to cost savings for the healthcare system and local government. Over time, a reduction in preventable hospitalizations and justice system involvement will decrease overall costs for the community, making the plan economically beneficial. Data -Driven Quality Improvement The use of HICHC's EPIC electronic health record system ensures that data on service utilization, client outcomes, and performance metrics is tracked in real-time. This allows for continuous monitoring and quality improvement efforts, ensuring that the CSU meets the highest standards of care. The ability to document and analyze data will also support grant reporting and compliance with regulatory bodies like HRSA. Culturally Responsive and Community -Focused Services HICHC is deeply embedded in the Hawaii Island community and is well -positioned to deliver services that are culturally responsive and reflective of the needs of the population. The integration of peer support, trauma -informed care, and local partnerships ensures that the services are not only clinically effective but also culturally attuned to the diverse populations of Hawaii County. Sustainability through Local Partnerships and Community Collaboration Collaboration with local community organizations, justice systems, and service providers will create a strong, sustainable network for mental health crisis care. These partnerships help ensure that clients receive comprehensive, ongoing support post -crisis, reducing the likelihood of recurring crises and fostering long-term mental health and wellness. Potential Challenges and Mitigation Strategies While the plan offers many benefits, there are potential challenges that must be addressed to ensure successful implementation. These include: Staffing Shortages and Workforce Burnout Operating a 2417 facility requires a dedicated and highly skilled workforce. Staffing shortages and burnout are common challenges in crisis care settings. To mitigate this, HICK can invest in ongoing staff training, offer competitive compensation, and provide wellness programs for employees. Recruitment strategies can target both local talent and external professionals willing 14 Attachment A: Scope of Work to relocate to Hawaii Island. Partnering with academic institutions and offering training opportunities may help build a pipeline of future mental health professionals. Funding and Financial Sustainability While the Center will leverage billable services and grants, initial funding and long-term financial sustainability are crucial. It will be imperative that HICK pursue diverse funding streams, including government contracts, Medicaid reimbursement, philanthropic support, and federal grants. A proactive approach to grant writing and advocacy for state and county funding will be necessary to secure the financial resources needed for sustained operations. Community Awareness and Engagement Community members and stakeholders may need education on the value and availability of the Center. HICK will conduct community outreach, informational campaigns, and partnerships with local organizations to raise awareness of the Center's services. Building trust within the community will also ensure that individuals feel comfortable accessing care when needed. Coordinating Multiple Agencies and Systems Effective care coordination between H ICHC, law enforcement, EMS, hospitals, justice systems, and community organizations can be challenging due to differing operational protocols and objectives. HICK can establish clear communication channels, memorandums of understanding (MOUs), and cross -agency training to foster collaboration. Regular meetings and joint case reviews can help align goals and processes between partners. By addressing these challenges with proactive solutions, HICK can maximize the positive impact of the Center and ensure its long-term success in improving the health and well-being of Hawaii County's most vulnerable populations. 15 Attachment A: Scope of Worlc 4) Staffing and Personnel a) Staff Qualification To ensure the effective operation of a Community -Based Mental Health Center, the following key personnel positions are required. Each role demands specialized skills, experience, and qualifications to meet the needs of a robust mental health service delivery system. These positions are essential to the successful and sustainable operation of a community -based mental health center, ensuring that services are available 2417 for individuals in crisis while maintaining the highest standards -of care and professionalism. Mental Health Center Program Director (Licensed Behavioral Health Professional) Qualifications: Master's or Doctoral degree in psychology, social work, counseling, or a related mental health field. Current licensure in Hawaii as a psychologist, licensed clinical social worker (LCSW), licensed mental health counselor (LMHC), or other relevant license. Minimum of 5 years of experience in a leadership role in behavioral health services, preferably in a community -based setting. Strong understanding of mental health treatment modalities, crisis intervention, and trauma - informed care. Proven ability to manage and oversee clinical operations, staff, and administrative duties in a 2417 facility. Experience in developing and managing program budgets and reporting. Behavioral Health Clinician (LCSW, LMHC, or Psychologist) Qualifications: Master's or Doctoral degree in clinical psychology, counseling, or social work. Licensure in Hawaii (LCSW, LMHC, or Licensed Psychologist). Minimum of 3 years of clinical experience in a behavioral health setting. Expertise in conducting mental health assessments, formulating treatment plans, and delivering individual and group therapy. Familiarity with managing patients experiencing severe mental illness, substance use disorders, and co-occurring disorders. • Strong communication and documentation skills, with experience working in electronic health records (EHR) systems. Mid -Level Medical Provider (Nurse Practitioner or Physician Assistant) Qualifications: Advanced practice degree from an accredited Nurse Practitioner (NP) or Physician Assistant (PA) program. Current licensure in Hawaii as a Nurse Practitioner or Physician Assistant. Minimum of 2-3 years of clinical experience, preferably in psychiatric, behavioral health, or emergency care settings. Knowledge of psychopharmacology and experience managing mental health medications. Familiarity with crisis intervention strategies, trauma -informed care, and substance use disorders. Ability to work collaboratively in a fast -paced, multidisciplinary team environment. Strong communication skills and proficiency in using electronic health records (EHR) systems. 16 Attachment A: Scope of Work Registered Nurse (RN) or Psychiatric Nurse Practitioner (PMHNP) Qualifications: Current Hawaii RN license or Psychiatric -Mental Health Nurse Practitioner (PMH NP) license. Minimum of 3 years of nursing experience, with at least z years in a psychiatric or behavioral health setting. Expertise in psychopharmacology, medication management, and mental health nursing care. Experience in triaging mental health emergencies, crisis intervention, and coordination of care. Ability to work collaboratively with behavioral health clinicians and support staff in a 24/7 environment. Case Manager (Patient Navigator) Qualifications: Bachelor's degree in social work, psychology, or a related field (Master's degree preferred). Minimum of z years of experience in case management, preferably in a behavioral health setting. Experience in coordinating services and resources for individuals with mental health or substance use challenges. Familiarity with community resources, housing, employment services, and social support programs. Strong organizational skills and ability to manage complex cases with multiple needs. Peer Specialist Qualifications: Personal experience with recovery from mental health or substance use challenges. Certification as a Peer Specialist, which typically requires completion of state -approved training programs. Strong communication and active listening skills to effectively support individuals experiencing crises. Ability to collaborate with clinical teams and work in a fast -paced, high -stress environment. Understanding of trauma -informed care, crisis intervention techniques, and de-escalation methods. Flexibility to work in a 2417 setting, often requiring evening, weekend, and holiday shifts. Basic knowledge of mental health systems, local resources, and support services to assist individuals in connecting with appropriate care. Support Staff (24/7 Receptionist, Security, and Maintenance Personnel) Qualifications: High school diploma or equivalent required. Previous experience working in, a healthcare or mental health setting preferred. Strong interpersonal and communication skills to handle crisis situations and assist with patient flow. Basic knowledge of safety protocols, security procedures, and emergency response. HICK is well -positioned to staff the proposed Community Mental Health Center due to our existing pool of highly qualified behavioral health clinicians, medical providers, registered nurses, and case managers. Our team currently provides comprehensive mental and physical health services to the community, and many of our existing staff possess the necessary qualifications, experience, and expertise to fulfill the roles required at the Crisis Center. However, as this will be a new program within our organization, specific staffing considerations must be addressed. The positions required for the 24/7 operation of a Community Mental Health Center 17 Attachment A: Scope of Work will necessitate the creation of new job descriptions tailored to the unique demands of a 24/7 crisis intervention setting. While HICHC has many qualified professionals who are equipped to fill these roles, all positions associated with this new program will be treated as new hires. Therefore, in accordance with our organizational policies, all staff members interested in transitioning to this program will need to go through the formal application and interview process. This ensures that each individual selected is not only qualified but also fully prepared for the responsibilities and challenges specific to operating within a 24/7 crisis response environment. It also allows us to ensure that the right mix of expertise, skills, and experience is brought together to meet the needs of the individuals and families who will rely on the Center. We are committed to staffing the center with the highest caliber of professionals and ensuring a seamless transition as we launch this essential service for the community. b) Staffing Plan The table below reflects the desired staffing configuration for the Hilo Community -Based Mental Health Center staffed 24/7. SpecialistTIME FRAME Program SH Medical RN Case Peer Security House Director vider Provider Manager lam-3Pm X 'X X X X X X X. 3pm-"Pm X X X X X ltpm-lam X X X X X On -Call X X X X X X X X Staff will be scheduled in 8-hour shifts: Morning Shift: 7:0o AM — 3:00 PM; Afternoon/Evening Shift: 3:00 PM — »:oo PM; Night Shift: ii:oo PM — 7:0o AM It is crucial for a program director, behavioral health provider, and medical provider to be on -call for a 24/7 mental health crisis center to ensure comprehensive, timely, and expert support for both staff and clients. Program Director: Provides leadership and operational oversight, ensuring the center adheres to policies, handles emergencies, and maintains smooth operations. They address staffing, procedural issues, and critical decision -making, which is vital for a high -functioning crisis center. Behavioral Health (BH) Provider: As clinical experts in mental health, BH providers offer essential guidance in assessing and managing complex cases. Their expertise helps staff navigate 18 Attachment A: Scope of Work challenging situations, ensuring clients receive proper care, therapeutic interventions, and appropriate referrals. Medical Provider: Mental health crises often involve co-occurring physical health issues or medical emergencies that require immediate attention. Having a medical provider on -call ensures that any physical health concerns or medication management issues are addressed promptly, maintaining the safety and well-being of clients. Together, these roles form a critical support system, ensuring that the mental health center can respond effectively to any situation that arises, maintaining high standards of care around the clock. c) Staffing Development HICK is dedicated to ensuring that staff working in the Community -Based Mental Health Center are equipped with the necessary skills and knowledge to provide high -quality, compassionate care to individuals in crisis. We recognize that comprehensive and ongoing training is essential for our staff to effectively meet the complex needs of patients in acute mental health situations. To that end, HICHC is committed to providing training and development opportunities in the following four key areas: Trauma -Informed Care Training Trauma -Informed Care training teaches staff how to recognize and respond to the signs of trauma in patients. It emphasizes creating a safe and supportive environment where patients feel respected, empowered, and in control of their care. This approach helps minimize the risk of re -traumatization and promotes healing by understanding the widespread impact of trauma and how it may affect an individual's behavior, decisions, and mental health needs. This training is critical for staff working in crisis settings, as many individuals seeking services will have histories of trauma. Crisis Prevention and Intervention (CPI) Training Crisis Prevention and Intervention (CPI) training equips staff with the skills to safely manage and de-escalate crisis situations. This training focuses on non-violent methods for calming individuals in distress, preventing harm to the individual and others. CPI training also emphasizes effective communication, behavior management techniques, and creating a safe environment for -both patients and staff. In the context of a 24/7 crisis center, these skills are vital to ensuring that individuals experiencing acute mental health crises are handled with care and safety. Suicide Risk Assessment and Intervention Training Suicide Risk Assessment and Intervention training prepares staff to identify warning signs of suicide and implement appropriate interventions. This training includes understanding risk factors, protective factors, and the use of screening tools to assess suicide risk. Staff are trained on how to have difficult conversations with individuals contemplating suicide and how to create and implement safety plans to prevent self -harm. This training is essential for crisis center staff,, as they will frequently encounter individuals at high risk for suicide. Motivational Interviewing (MI) Training 19 Attachment A: Scope of Work Motivational Interviewing (M 1) is a person -centered counseling technique that helps individuals resolve ambivalence and strengthen their motivation for change. In the context of mental health and crisis intervention, M I training equips staff with the skills to engage patients in meaningful conversations about their treatment goals, encouraging them to take an active role in their own recovery. M I is particularly effective for individuals who may feel resistant or unsure about seeking help, as it empowers them to make informed decisions about their care. By investing in these critical areas of training, HICHC is ensuring that our staff have the necessary tools to provide compassionate, effective care to individuals in crisis. We are committed to fostering a learning environment where staff can continue to grow professionally and deliver the highest standards of care to our community. d) Staffing Contingency Plan HICK is committed to ensuring that the new 24/7 Community -Based Mental Health Center is fully and effectively staffed to meet the critical mental health needs of our community. To achieve this, key members of our leadership team, including the Director of Behavioral Health, the Chief Operations Officer, the Medical Director, and the Mental Health Center Program Director, will work collaboratively to strategize and reallocate staff from other HICHC clinic positions to fill essential roles within the new Center when there are critical vacancies in program staff. Given HICHC's existing workforce of 465 employees across our various clinic locations on the island, we are well -positioned to tap into this talent pool for staffing the Center. This reallocation strategy will allow us. to leverage our current staffs skills and experience, while maintaining continuity of care across our other health services. Additionally, to ensure the 24/7 staffing model is sustainable, we will implement a cost differential for employees working late hours, on -call shifts, and overnight rotations. This differential is intended to recognize the unique demands of crisis care and incentivize staff to take on these critical roles, maintaining a robust and resilient staffing model at all hours of operation. By reallocating our qualified personnel and offering compensation adjustments for late -hour and on - call shifts, H ICHC hopes to maintain consistent, high -quality staffing for the Community -Based Mental Health Center, ensuring this essential service is available for those in need at any time. 20 Attachment A: Scope of Work 5) Financial and Sustainability a) Total Finding Request HICHC is seeking $3,845,000 to fund 22-months of operation for a 24/7 Community -Based Mental Health Center to be located in. Hilo, Hawaii. Please see Attachment B: Program Budget for a detailed line item budget describing revenue and expenses for the program. b) Budget Narrative The attached program budget reflects the financial risk to be undertaken by HICHC in order to deliver on the objectives and outcomes established in this RFP. The grant award ($3,845,000) does not cover the full costs associated with opening and operating the Community -Based Mental Health Center in Hilo ($5,791,034), and thus it is imperative that billable revenue is immediately maximized to cover the deficit in expenses over 22 mo. ($1,946,034)• PERSONNEL/FRINGE 03,39o,613, with grant funding of $2,290,948): The largest expense is personnel. Staffing a mental health crisis center 24/7, with 6-months program development, and 16- months of program operations equates to staffing the crisis center for 2,952 consecutive hours. The core team of the program will include 1 FTE Program Director, 4 FTE Registered Nurses, 4 FTE Case Managers (Patient Navigators), 4 FTE Peer Specialists, 4 FTE Security Guards, .75 BH Provider, .75 Medical Provider (Doctor), .5 FTE Call Center Operator, .20 Psychiatrist, .2 FTE Pych APRN, .2 FTE Clinical Pharmacist, .2 FTE IT staff, .2 FTE Facilities/Main staff, .2 FTE HR, .2 FTE Accountant, and .2 FTE Billing -Coding. The cost of personnel fringe and taxes is 26%, and H ICHC gives staff an annual bonus that is roughly 3% of their salary. SUPPLIES ($449,116 with grant funding of $28o,750): Items included in the supply line item includes such things as clinical supplies, pharmacy supplies, office supplies, BH screening tools, facility supplies, janitorial supplies, video camaras and signage for inside and outside of the building. TRAVEL 04o,848 with grant funding $29,235): H ICHC will send program management on two separate trips to gather information from other programs to see best practices and see how other programs set-up their workflow for similar programs. HICHC staff will travel to the CBMHC in Maui and Tucson. In addition, HICHC will incur travel costs associated with leadership driving between Hilo and Kona. CONTRACUAL ($1,439,289 with grant funding of $987,o67): Items included in the contractual line item of the budget include lease on the space to provide program services, IT/Phone installation, electronic health record system set up and maintenance cost for site, language translation vendor services, printer rental, insurance, clinical subscriptions for vendor services related to providers medical care of patients. OTHER COSTS 0471,167 with grant amount of $257,000): Items included in the other costs include marketing and program promotional costs, pharmacy software subscriptions, legal fees for contracts, fees for provider/staff recruitment licensing, CME, and contract for Accuvax refrigeration unit. 21 Attachment A: Scope of Work c) Revenue Generation HICHC is committed to maximizing revenue generation by submitting charges to payers to the fullest extent possible for services rendered at our Community -Based Mental Health Center. As a Federally Qualified Health Center (FQHC), H ICHC provides care to all individuals, regardless of their ability to pay, ensuring that no one is turned away due to financial limitations. However, given the high complexity and intensity of the care provided at this crisis center, which often requires specialized interventions and comprehensive behavioral health support, the revenue generated from billable services will not come close to covering the program's full operational costs beyond the time frame of this grant award. This shortfall is primarily due to limitations in reimbursement rates for the level of care required and the necessity of delivering services to uninsured or underinsured populations. Therefore, it is imperative that additional financial support from both the County, and the State of Hawaii, is secured prior to the end date of this contract in order to sustain this vital community resource into the third year of the program. The backing of local government will be critical in ensuring that the program continues to provide essential, life-saving services to individuals in crisis across the island, regardless of their ability to pay. d) Financial Management H ICHC adheres to the highest standards of financial integrity by following Generally Accepted Accounting Principles (GAAP) in all its financial operations. These best practices ensure transparency, accountability, and accuracy in managing and reporting financial transactions, safeguarding the organization's resources, and maintaining the trust of stakeholders, funders, and regulatory bodies. Financial Best Practices at HICHC Compliance with GAAP: HICHC ensures that all financial reporting, bookkeeping, and transactions are conducted according to GAAP standards, which guarantee that our financial records are accurate, consistent, and reliable. This framework allows us to produce clear and comparable financial statements, which are essential for effective decision -making and regulatory compliance. Annual Independent Audits: As a Federally Qualified Health Center (FQHC), HICHC undergoes a rigorous, independent annual audit performed by a certified public accounting firm. This audit reviews financial statements, internal. controls, and compliance with federal, state, and local laws. The process ensures that HICHC's financial activities are transparent, and that the organization meets the highest financial and ethical standards. Any findings or recommendations from the audit are addressed promptly to strengthen our financial operations. Internal Controls: H ICHC employs robust internal control measures to safeguard assets, prevent fraud, and ensure the accuracy of financial reporting. These internal controls include: 22 Attachment A: Scope of Work o Segregation of Duties: Critical financial functions such as approval, recording, and reconciliation of transactions are divided among multiple staff members to reduce the risk of errors or misuse. o Regular Reconciliations: Bank accounts, payroll, and general ledger accounts are reconciled regularly to ensure that all financial transactions are accurate and recorded in a timely manner. o Budget Monitoring and Financial Reporting: H ICHC actively monitors its budget, ensuring that actual revenues and expenses align with projections. Financial reports are generated and reviewed by leadership and the Board of Directors to maintain financial health and operational efficiency. Grant Compliance and Reporting: As a recipient of government and private grants, H ICHC has strict processes in place to track grant funds and ensure they are used appropriately and in accordance with funder requirements. Regular financial reporting to grantors is part of our commitment to accountability. These financial best practices help ensure HICHC's long-term sustainability and its ability to deliver vital healthcare services to the community, while maintaining the trust of stakeholders and funders. e) Sustainability Plan The only way a 2417 Community -Based Mental Health Center, fully accessible to all who walk through its doors and guided by a no -wrong -door philosophy, can remain a sustainable and life-saving resource for our community is through strong, collaborative partnerships with the County of Hawaii, the State of Hawaii, and private funders who share a vested interest in the well-being of our island residents. This essential program is not just a safety net —it is a lifeline for individuals in crisis who may have nowhere else to turn. H ICHC is deeply committed to providing these services, regardless of an individual's ability to pay, ensuring that no one is turned away in their time of greatest need. While HICK will work diligently with insurance payers to maximize billing for services provided, we know that reimbursement alone will never come close to covering the full cost of operating a 24/7 facility that requires highly trained staff, specialized behavioral health services, and a wide range of critical support. The complexity of the care needed in a mental health crisis environment far exceeds what current payer structures are able to support. To keep the doors of this vital program open and ensure that it continues to serve all who seek help, a robust public -private partnership is essential. Continued operations beyond the initial grant funding will require ongoing investment from the County, the State, and private funders who understand the importance of sustaining this critical community resource. Together, we can ensure that individuals in crisis receive compassionate, expert care around the clock, giving them a chance to recover and reintegrate into society, ultimately strengthening the fabric of our entire community. Without this collective support, the program cannot be sustained beyond this grant period. f) COVID-19 Aid H ICHC received a $650,000 grant from the County of Hawaii to finish construction on an in-house COVID-19 community testing and vaccination site. HICK also received $973,000 in federal funding 3S7 Attachment A: Scope of Work for "Paycheck Protection Program" and an additional $6.6 million from Health and Human Service for health center response and stabilization to the COIVD-19 crisis. g) Project Timeline The timeline below reflects an outline for project phases, including planning, development, implementation, evaluation along with key milestones within each phase. Time Frame Project Phase Key Milestones # of Integrated # of Crisis Stabilization i. Program workflow developed. January 2025 Planning: 2. HR posts job descriptions 0 0 3. Leadership team does site visit to CBMHC's in Maui and ---'-=-------•--•--- ---- -----_ -- ------ Tucson, AZ -----------_...--•-------•--------------- ----------------- ---------- ---------------- February Planning: g: 1. Define program structure o 0 2025 2. Develop protocols and procedures March2025Planning,. i. Establish evaluation matrix and build evaluation reports o 0 April 2o25 Planning: i. Marketing materials dispersed in community o 0 May 2025 Planning: i. Staff training and on -boarding o 0 June 2025 Planning: 1, Community Open -House Event for consumers and CBO 0 0 partners t. Program Launch July 2025 Implementation: 2. Roll out the program, ensuring that all staff are hired, 31 12 trained, and in place, and that facilities are ready to provide services. _ 1. On -going assessment of program performance against the established goals and objectives, including client outcomes, service efficiency, and financial performance. 2. Data Collection: Collect and analyze data on service August 2025 Evaluation & delivery, client satisfaction, and clinical outcomes to inform 63 20 Adjustment: continuous Improvement efforts, 3. Adjustments and Scaling: Based on evaluation results, adjust the program as necessary to improve outcomes and address emerging needs. If the program is successful, explore opportunities for scaling or expanding services. September Evaluation & i. On -going assessment of program performance 2025 Adjustment: 2. Data Collectlon 113 21 3. Adjustments and Scaling Evaluation & 1. On -going assessment of program performance October 2025 Adjustment: 2. Data Collection 125 40 3. Adjustments and Scaling November Evaluation & i. Ongoing assessment of program performance 2025 Adjustment 2. Data Collection 125 40 3. Adjustments and Scaling December Evaluation & 1. On -going assessment of program performance 2025 Adjustment: 2. Data Collection 125 6o 3. Adjustments and Scaling Evaluation & i i. On -going assessment of program performance January 2026 Adjustment: 2. Data Collection 125 60 3. Adjustments. and Scaling February Evaluation & i. On -going assessment of program performance 2026 Adjustment: 2. Data Collection 125 72 3. Adjustments and Scaling Evaluation& i. On -going assessment of program performance March 2026 Adjustment: 2. Data Collection 125 72 3. Adjustments and. Scaling Evaluation & 1. On -going assessment of program performance April 2026 Adjustment: 2. Data Collection 125 80 3. Adjustments and Scaling 24 Attachment A: Scope of Work Evaluation & t• Ongoing assessment of program performance May zo26 Adjustment: z. Data Collection 125 80 3. Adjustments and Scaling _ Evaluation & 1• On -going assessment of program performance June 2026 Adjustment: z. Data Collection 125 80 3. Adjustments and Scaling Evaluation & t• Ongoing assessment of program performance July 2o26 Adjustment: 2. Data Collection 125 80 3. Adjustments and Scaling 1. Strengthen partnerships with community organizations, August zoz6 Stabilization & government agencies, and healthcare providers to ensure �z5 So Growth the program remains well -Integrated into the broader health and social services ecosystem. t Strengthen partnerships with community organizations, September Stabilization & government agencies, and healthcare providers to ensure 80 2026 Growth the program remains well -integrated Into the broader US health and social services ecosystem. 1. Strengthen partnerships with community organizations, October 2o26 Stabilization & government agencies, and healthcare providers to ensure 125 80 Growth the program remains well -Integrated into the broader health and social services ecosystem. 6) Evaluation and Performance Measurements a) Performance Measures H ICHC is committed to evaluating the effectiveness and impact of the Community -Based Mental Health Center in Hilo using clearly defined performance measures. These measures will ensure the program meets its objectives and improves the well-being of the community it serves. The evaluation will focus on key data points that align with our goals of service utilization, patient outcomes, access to care, and the integration of services. Specifically, HICHC will measure the following: Utilization of Health Services o Number of Patients Seen: Track the total number of individuals who access the mental health center, including both new patients and returning patients. This data will help assess community demand and program reach. o New vs. Returning Patients: Monitor the number of new patients versus returning patients to evaluate the program's ability to attract first-time users and its success in maintaining ongoing care relationships with existing patients. o Clinical Services Provided: Measure the number of clinical service units (e.g., counseling sessions, psychiatric consultations, crisis interventions) delivered, helping to quantify the scope of care provided. Crisis Diversion o Diverted Cases from Emergency Room (ER): Track the number of people diverted to the Center by the police or Crisis Mobile Outreach teams instead of being transported to the ER. Increases in these diversions will indicate the program's success in reducing unnecessary ER visits and improving crisis management in the community. Patient Outcomes 25 Attachment A: Scope of Work o Referral to Ongoing Treatment: Measure the number of patients who receive referrals to ongoing mental health or substance use disorder (SU D) treatment after being stabilized at the Center. This metric will reflect the program's effectiveness in connecting individuals to long-term care solutions. o Improvement in Patient Outcomes: Evaluate improvements in patient outcomes through follow-up data, such as sustained recovery rates, reduced recidivism in crisis episodes, and adherence to recommended treatment plans. Access to Care for Underserved Populations o Increased Access to Care: Monitor the increase in the number of underserved populations accessing mental health services at the Center, including individuals from rural areas, low-income groups, and those with limited access to healthcare. This will demonstrate the program's ability to reach vulnerable groups in the community. Integration of Primary Care and Mental Health Services o Integration of Services: Track the number of patients who receive both primary care and mental health services through HiCHC's integrated care model. This data will show how well the Center is bridging the gap between physical and mental health, leading to comprehensive, holistic care. Patient Satisfaction o Patient Satisfaction Data: Collect patient feedback through surveys and other tools to measure satisfaction with the services received at the Center. High satisfaction scores will indicate that the program is responsive to patient needs and providing high -quality care. Patient Demographics and Diagnoses o Patient Demographic Data: Analyze demographic data (e.g., age, gender, ethnicity, income levels) to ensure the program is reaching diverse populations and addressing health disparities. o Prevalence of Mental Health and SUD Diagnoses: Track the types of mental health and substance use disorder diagnoses being treated at the Center to better understand the population's needs and adjust services accordingly. These performance measures will provide a comprehensive evaluation framework for the Community -Based Mental Health Center, allowing HICHC to monitor its impact, ensure continuous quality improvement, and demonstrate the value of the program to stakeholders, funders, and the community. Through these efforts, HICHC will ensure that the Center remains a critical resource for individuals in crisis, providing effective and accessible care for all. b) Data Collection and Reporting HICHC employs a state-of-the-art electronic health record (EHR) system, EPIC, which enables advanced data tracking and reporting. This system is fully customizable to monitor a wide range of clinical and operational data, allowing HICHC staff to generate detailed reports at any programmed interval. The ability to tailor EPIC to the specific needs of our Community -Based Mental Health Center ensures that we can continuously track patient outcomes, service utilization, demographic trends, 26 Attachment A: Scope of Work and other critical performance metrics. This empowers our team to make data -driven decisions, optimize care delivery, and maintain compliance with program requirements, ultimately improving patient care and program effectiveness. HICHC will provide the County of Hawaii with monthly reporting for the first nine (9) months after contract award and quarterly reporting of thereafter up to September loth, 2026. Upon completion of the award period, a final report documenting the entire contract period, up to October 31, 2026 will be provided. c) Quality improvement HICHC is dedicated to maintaining the highest standards of care through comprehensive Quality Improvement (QI) and Quality Assurance (QA) plans. These plans are driven by best practices in data collection, analysis, and the continuous evaluation of our services. H ICHC follows a proactive approach to identifying areas for improvement and making necessary adjustments to ensure optimal patient outcomes and operational efficiency. Best Practices in Quality improvement and Assurance: HICHC systematically collects and utilizes data from multiple sources, including patient health outcomes, service utilization, patient satisfaction surveys, and clinical performance metrics. This data is tracked and analyzed using our state-of-the-art EPIC electronic health record (EHR) system, which allows us to monitor trends in real time and generate customized reports. Data Collection and Utilization for Continuous Improvement: Identifying Areas for Improvement: By regularly reviewing data, we can identify specific areas where patient care or operational processes can be improved. This includes tracking clinical outcomes, monitoring adherence to treatment protocols, and evaluating patient wait times, access to care, and follow-up procedures. Continuous Flow of Bilateral information: HICHC fosters an environment of open communication between leadership, clinical staff, and administrative teams. This bilateral exchange of information ensures that insights gained from data analysis are shared across the organization, allowing for collective input in decision -making and improvement strategies. Implementation of Changes: Based on the insights gained from ongoing evaluation, HICHC implements evidence -based changes to its practices, ensuring that adjustments are grounded in data and best practices. These changes are continuously monitored to evaluate their effectiveness and make further refinements as needed. Through this iterative process of data -driven evaluation, HICHC is able to consistently enhance the quality of care it provides, ensuring that we meet the evolving needs of the community while maintaining a high standard of clinical excellence. 27 Attachment Bt Program Budget and Compensation Schedule Center Operation Budget RFP 114575 Funds Other Funds Total S 3,845.000 S 1946 034.00 S 5,791,034.00 Itemized Expenses A. RFP H4575 A-1 Admin % of A A-2 Admin Cost of A B. Other Funds C. Total A+B I FTE MSW (orsimilar) for BH Clinic Program Director a@ SI lOK/yr * Startinp in January 2025 S 183,334.00 20.00% S 36,666.80 S $ 183,334.00 4 FTE Peer Support Coaching Specialists rQ S45K each /yr • Starting in January 2025 S 300,000.OD 0.00% S - S S 300,000.00 4 FTE Patient Navigators-BH Case Managers rt S71K each * Starting in January 2025 $ 473,334.00 0.00% S S S 473,334.00 4 FM Registered Nurse PS100K ea/ -est July start $ 339 121.00 0.00% S S 260 879.33 S 600 000.33 4 FTE Security Guards 0 S55K each/yr S 110 000.00 0.00% $ $ 183 333.33 $ 293 333.33 .5 FTE Call Center Operator S 13 333.00 0.00% S $ 16 666.67 S 29 999.67 .20FTEPsychiatrist on -call S 29333.OD 0.00% S S 36666.67 $ 65999.67 .75 FTE BH Provider LCSW/or phychologist-start 5 months in S 67,500.00 0.00% S $ 84,375.00 S 151,875.00 S .75 FTE Medical Doctor (needed re psychotropic drug rx, long acting iniections etc) -start 5 mo in $ 100,O00.OD 0.00% $ S 125,000.00 S 225,000.00 .2 FTE Pych APRN $ 12 667.OD 0.00% S S 15 833.33 $ 28 500.33 .2 FTE Clinical Pharmacist (needed for opiods, adult vaccines, long acting iniects $ 16,667.00 0.00% $ $ 20,833.00 $ 37,500.00 Estimated cost differential for night shifts (52 wks x 5 positions x 7 days x 16 hrs/da x $2 addYhr S 58,240.00 0.00% S - S 48,533.00 $ 106,773.00 .2 HE IT staff S 13 000.00 100.00% S 13 000.00 S 10 833.33 $ 23 833.33 .2 FTE Facilities/Maint staff $ 13 000.00 100.00% S 13 000.00 $ 10 833.33 S 23 833.33 .2 FTE HR Staff- hiring staff S 15 000.00 100.00% $ 15 000.00 $ 12 500.00 $ 27 500.00 .2 FTE Accountant/Finance Staff -oversee grant, AP & payroll, and mice S 17,400.00 100.00% S 17,400.00 $ 14,500.00 S 31,900.00 .2 FTE Billing -Coding Staff -develop and bill for services $ 14 000.00 100.00% S 14 000.00 $ 11 666.67 S 25 666.67 Annual bonuses 31/0 $ 53 278.00 0.00% $ - $ 25 574.00 $ 78 852.00 Other personnel &in dlaxes 26% S 461 741.00 0.00% $ $ 221638.00 $ 683 379.00 ff w e PhannaM medical clinical supplies used in visits S 36 000.00 0.00% S S 30 000.00 S 66 000.00 Fumiture/desks/chairsAocking cabinets for meds/pt needs, est S40K), EKG, BP/vital slats on a stick (0), small med instruments er otrons for computer S 55,000.00 0.00% S - S 10,000.00 S 65,500.00 Office Supplies - general, paper,osta a etc. $ 12 000.00 0.00% S S 10 000.00 S 22 000.00 Patient meals and snacks S 18 250.00 0.00% $ S W S 18 250.00 10 laptops or desktops -monitors @ 51700 S 17 000.00 0.00% $ S 1,700.00 S 18 700.00 5 Desk Phones for stations @5001ea $ 2,500.00 0.00% $ $ S 2,500.00 BH Supplies - assessment tools cots linens S 10 000.00 0.00% $ S 8,333.00 S 18 333.00 Facilities supplies for upgrudes/refiesh as needed - small maintenance changes S 15,000.00 0.00% $ $ 12,500.00 S 27,500.00 Appliances for vaccine refrigerators, washer, er, etc. S IS OOO.OD 0.00% $ $ 12 500.00 $ 27 500.00 Janitorial supplies est S5K/mo $ 60 000.00 100.00% $ 60 000.00 $ 50,000.00 $ 110 000.00 Video Cameras for exterior and interior-cabeling and 5 lic. Meraki S 25,000.O0 0.00% S - S 20,833.00 S 45,833.00 Signago for outside and inside ofbuflding S 15,000.00 0.00% S $ 12 500.00 S 27 500.00 Airfare, Lodging, ground transportation Kona airport parking, Per Diem x 2 HICHC ee s and 1 county ee to Tucson, AZ - review BH crisis project S 13,500.00 0.00% $ $ - S 13,500.00 H Airfare, Lodging, ground transportation Kona airport parking, Per Diem x 2 HICHC ee's and 1 county ea to Maui, W -review BH crisis prolect S 1,800.00 0.00% S $ S 1,800.00 Mileage between east and west for management purposes =52 wks*00I2ec".67/mile S 13,935.00 0.00% $ S 11,613.00 S 25,548.00 Page I Attachment B: Program Budget and Compensation Schedule Center Operation Budget RFP 04575 Funds Other Funds Total S 3,845,000 S 1,946,034.00 S 5 791034.00 Itemized Expenses A. RFP 94575 A-1 Admin % of A A-2 Admin Cost of A B. Other Funds C. Total A+B Lease for 45 Mohouli Street, Hilo, 11196720 (Ste 200- $11700: Ste 202-$3 800• Ste 203-54 700)tyear S 444,400.00 0.00% $ $ - $ 444,400.00 Electrical contract for wiring IT and any electrical outlets for medical matins, or special outlets for copiers or cam ulers/ hones S 70,000.00 100.00% $ 70,000.00 $ 58,333.33 S 128,333.33 HCN contractual for new site EPIC electronic health record S 240,000.00 0.00% S - $ 200,000.00 S 440,000.00 Security $51(/mo - Alert Alarm; and night drive through security contract S 60,000.00 100.00% S 60,000.00 $ 50,000.00 $ 110,000.00 $` Clinical Medical/BH contractual for Scribe X/dictation, dm on bio-me shredding, other BH $ 16,667.00 0,00% S - $ 13,889.00 S 30,556.00 Minolta/Xerox, Pitney Bowes, other small equipment leases $ 36,000.00 0.00% S $ 30,000.00 S 66,000.00 Insurances on building, malpractice, OAP etc. $ 36 000.00 0.00% S S 30 000.00 S 66 000.00 Language Translation - ie. Vo ce S 12,000.00 0.00% $ $ 10 000.00 $ 22 000.00 Janitorial servicespest control $6K/montih $ 72 000.00 100.00% S 72 000.00 S 60 000.00 S 132 000.00 Advertising -media contracts S 20,000.00 0.00% S - S 16,667.00 S 36,667.00 Contract for Accuvax vaccine refrigerator S 10 000.00 0.00% S $ 8,333.00 S 18 333.00 Phone line subscriptions, IT Contracts for phones, software for routers switche interact lines $ 100,000.00 0.00% S S 83,333.00 S 183,333.00 Utilities-est S61dmo $ 72 000.00 0.00% $ $ 60 000.00 S 132 000.00 Pharmacy software subscriptions for online S 20 000.00 0.00% S $ 16 667.00 $ 36 667.00 e Legal fees for contracts, HR use, setting up the business site, etc S 15,000.00 0.00% $ S 12,500.00 S 27,500.00 Fees for new provider/stafirecmitmem,licenses, memberships, CME, credentialing, moving expense, pharmacy contract fees/Elevate S 20,000.00 0.00% $ S 16,667.00 $ 36,667.00 $ ? n S Indirect Costs Optional Up to $344,500 minus "total admin costs or h.Administration") S 0.00% $ NA S a. Personnel $ NA NA S 852 453.67 "5 2.628.382.67 b. Fringe Benerrts $ NA NA $ 247 212.00 S 762 231.00 P. Equipment $NA NA $ S d. Supplies S NA NA S 168 366.00 6 00 'a e. Travel S M257,000.00 NA NA S 11613.00 S 40 848.00 t~ f. Contractual $ NA NA $ 452 222.33 S 1439 89.33 g. Other S NA NA S 214167.00 $ 471 167.00 h. Indirect Costs SNA S NA S i. 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O fD �' o 8: 0 C :T m =0 c g <^ _ o g N @DD =0 0 y m =0 o ,n 3 m a � a a ID a to 7 fD u=i n .0 CL O L = tto 'a = N -n C = N G C Q' N p' N p' N n. n n a µ -C-D N N n v 0 0 -CID � ,ar 3 m m m (n `�orr 3 N N v < d fu C N 01 N cn N N En _a CL FO PO 90 PO 0 0 0 CD 0 0 0 0 0 0 4 .m w v w CD w o w� o 3 O o 0 0 o rt 7 eT G o o 0 0 o 0 CDp 0 t c STATE OF HAWAII STATE PROCUREMENT OFFICE CERTIFICATE OF VENDOR COMPLIANCE This document presents the compliance status of the vendor identified below on the issue date with respect to certificates required from the Hawaii Department of Taxation (DOTAX), the Internal Revenue Service, the Hawaii Department of Labor and Industrial Relations (DLIR), and the Hawaii Department of Commerce and Consumer Affairs (DCCA). Vendor Name: WEST HAWAII COMMUNITY HEALTH CENTER, INC. DBA/Trade Name: HAWAII ISLAND COMMUNITY HEALTH CENTER Issue Date: 11/27/2024 11 Status: Hawaii Tax#: New Hawaii Tax#: FEIN/SSN#: UI#: DCCA FILE#: Compliant ✓ 14840852-48 GE-1484085248-01 XX-XXX5394 XXXX)CX8072 206368 Status of Compliance for this Vendor on issue date: Form Department(s) Status A-6 Hawaii Department of Taxation Compliant 8821 Internal Revenue Service Compliant COGS Hawaii Department of Commerce & Consumer Affairs Exempt LIR27 _ Hawaii Department of Labor & Industrial Relations Compliant 4 Status Legend: Status Description Exempt The entity is exempt from this requirement Compliant The entity is compliant with this requirement or the entity is in agreement with agency and actively working towards compliance Pending A status determination has not yet been made Submitted The entity has applied for the certificate but it is awaiting approval Not Compliant The entity is not in compliance with the requirement and should contact the issuing agency for more information _,�Hawai`i Island 4 Community Health Center Certificate of the Board of Directors West Hawaii Community Health Center, Inc. dba Hawaii Island Community Health Center 1 hereby certify that the Section 7.2 of the By -Laws of the Corporation, approved on October 4, 2023, state that: 'The Board of Directors may authorize the Corporation's officer or agent to enter into contracts, service agreements, memoranda of understanding, leases and other agreements and to accept grants and loans from Federal, State and local government agencies and from public or private corporations, foundations and persons and to perform all acts necessary for the Corporation's responsibilities under such contracts, service agreements, memoranda of understanding, leases and other agreements. Tl%eCliefExecutive.Qffic'er#mayenter:intopurcha'se conracts:fianelto; enclfunelson behalfjfhe`hCo oaton up to such limits as the Board of Directors establish in the Corporation's budget, in the Corporation's policies and procedures or by the Board of Directors' resolutions, provided that the Chief Executive Officer's actions shall be in compliance with Federal and State laws and with the Corporation's budget, the Corporation's policies and procedures and the Board of Directors' resolutions or authorizing actions." I, the undersigned, further certify that the foregoing is a true copy of Section 7.2 of the organizational By -Laws adopted by the Board of Directors of the Corporation at a duly called meeting of the Board on October 4, 2023, and entered into the regular minutes of the Corporation. 1 Dated: Mike Matsukawa, Board Chair Hawaii Island Community Health Center Inc. • 75-5751 Kuakini Hwy., 9203, Kallua-Kona, HI 96740.(808) 326.5629 • www.HawaIllsIandCHC.org ACOR" CERTIFICATE OF LIABILITY INSURANCE DA7E(IYYYYj 11/28/208/2024 THIS CERTIFICATE IS ISSUED AS A MATTER OF INFORMATION ONLYAND CONFERS NO RIGHTS UPON THE CERTIFICATE HOLDER. THIS CERTIFICATE DOES NOT AFFIRMATIVELY OR NEGATIVELY AMEND, EXTEND ORALTER THE COVERAGE AFFORDED BY THE POLICIES BELOW. THIS CERTIFICATE OF INSURANCE DOES NOT CONSTITUTE A CONTRACT BETWEEN THE ISSUING INSURER(S), AUTHORIZED REPRESENTATIVE OR PRODUCER, AND THE CERTIFICATE HOLDER. IMPORTANT: If the certificate holder is an ADDITIONAL INSURED, the poilcy(les) must have ADDITIONAL INSURED provisions or be endorsed. If SUBROGATION IS WAIVED, subject to the terms and conditions of the policy, certain policies may require an endorsement. A statement on this certificate does not confer rights to the certificate holder in lieu of such endorsement(s). PRODUCER JHC Services Inc dba John Connors Insurance 500Ala Moana Blvd. Ste. 2-303 Honolulu HI 96813 CONTACT Geri Buza (GB) NAME: (808) 521-3663 A/c Ne : (808) 521-5995 PA10% Ell: E-MAIL gbuza@connorshawall.com ADDRESS: INSURER(S)AFFORDING COVERAGE NAIC k INSURERA: Berkley Human Services 32603 INSURED West Hawaii Community Health Center, Inc., DBA Hawaii Community 75-5751 Kuakini HWY STE 203 Kailua-Kona HI 96740 INSURER B : INSURER C : INSURER 0: INSURER E : INSURER P : COVERAGES CERTIFICATE NUMBER: CL24112912219 REVISION NUMBER: THIS IS TO CERTIFY THAT THE POLICIES OF INSURANCE LISTED BELOW HAVE BEEN ISSUED TO THE INSURED NAMED ABOVE FOR THE POLICY PERIOD INDICATED. NOTWITHSTANDING ANY REQUIREMENT, TERM OR CONDITION OF ANY CONTRACT OR OTHER DOCUMENT WITH RESPECT TO WHICH THIS CERTIFICATE MAY BE ISSUED OR MAY PERTAIN, THE INSURANCE AFFORDED BY THE POLICIES DESCRIBED HEREIN IS SUBJECTTO ALLTHE TERMS, EXCLUSIONS AND CONDITIONS OF SUCH POLICIES. LIMITS SHOWN MAY HAVE BEEN REDUCED BY PAID CLAIMS. ILTR TYPE OF INSURANCE INSD WVD POLICY NUMBER POLICY EFF MM/00fYYW POLICY EXP MMIDD/YYYY LIMITS x COMMERCIAL GENERAL LIABILITY EACH OCCURRENCE $ 1,000.000 CLAIMS -MADE 7 OCCUR PREMISES (Ea occurrence $ 100,000 MED EXP (Any one person) $ 5,000 PERSONAL &ADV INJURY $ 1,000,000 A Y Y HHN8596636-12 09/01/2024 09/0112025 MGEN'LAGGREGATE LIMITAPPLIES PER: POLICY ❑ PRO ❑LOC JECT GENERALAGGREGATE $ 2,000,000 PRODUCTS-COMP/OPAGG $ 2,000,000 $ OTHER: AUTOMOBILE LIABILITY COMBINED SINGLE LIMIT Ea accident $ 1,000.000 BODILY INJURY (Per person) $ X ANYAUTO A OWNED SCHEDULED AUTOS ONLY AUTOS HIRED NON -OWNED AUTOS ONLY AUTOS ONLY Y Y HHN8596636-12 09/01/2024 09/01/2025 BODILY INJURY (Per accident) $ PROPERTY DAMAGE Per accident $ Uninsured motorist $ 1,000,000 %C UMBRELLA OCCUR " .W.- """ EACH OCCURRENCE 3,000,000 $ AGGREGATE $ 3,000,000 A EXCESS LIAB HCLAIMS-MADE Y Y HHN8596636-12 09/01/2024 09/01/2025 DED RETENTION $ $ WORKERS COMPENSATION AND EMPLOYERS' LIABILITY YIN ANY PROPRIETORIPARTNERIEXECUTIVE ❑ OFFICERIMEMBER EXCLUDED? (Mandatory In NH) NIA STATUTE ER E.L. EACH ACCIDENT $ E.L. DISEASE - EA EMPLOYEE $ E.L. DISEASE- POLICY LIMIT $ If yes, describe under DESCRIPTION OF OPERATIONS below DESCRIPTION OF OPERATIONS I LOCATIONS I VEHICLES (ACORD 101, Additional Remarks Schedule, may be attached If more space Is required) RE:RFP#4575 COUNTY OF HAWAPI STATE AND LOCAL FISCAL RECOVERY FUNDS HAWAN ISLAND MENTAL HEALTH RESILIENCE PROGRAMS County of Hawai'I and Its officers and employees are Included as an "Additional Insured" on the policy(s) evidenced (i.e. General and Automobile Liability; and Umbrella/Excess Liability) as respect work performed by, or on behalf of, the Insured. Such Insurance shall be on a Primary and Non -Contributory basis with a Waiver of Subrogation in favor of the County of Hawai'I. rcoTrrfrnrc unl me rANCFI I ATION SHOULD ANY OF THE ABOVE DESCRIBED POLICIES BE CANCELLED BEFORE THE EXPIRATION DATE THEREOF, NOTICE WILL BE DELIVERED IN County of Hawal'I ACCORDANCE WITH THE POLICY PROVISIONS. 25 Aupunl Street AUTHORIZED REPRESENTATIVE Hilo HI 96720 ©1988-2015 ACORD CORPORATION. All rights reserved. ACORD 26 (2016/03) The ACORD name and logo are registered marks of ACORD Last updated by Diane Pattiz on Oct 16, 2024 at 10:43 PM J9EST 11AM111 COMMUNITY HEALTH CENTER INC .,SAM*oov® WEST HAWAII COMMUNITY HEALTH CENTER INC Unique Entity ID U4BZCQ3SMKQ1 Registration Status Active Registration Physical Address 75.5751 Kuakini HWY STE 203 .Kallua Kona, Hawaii 96740-1753 United States CAGE/NCAGE 4GYT3 Expiration Date Oct16,2025 Mailing Address 75-5751 Kuakini Highway Suite 203 Kallua Kona, Hawaii 96740-1705 United States Purpose of Registration All Awards Doing Business as Division Name Division Number Hawaii Island Community Health Center (blank) (blank) Congressional District State / Country of Incorporation URL Hawaii 02 Hawaii / United States (blank) Registration Dates Activation Date Submission Dale Initial Registration Date Oct 18, 2024 Oct 16, 2024 Jul 27, 2006 Entity Dates Entity Start Date Fiscal Year End Close Date Nov 26, 2003 Dec 31 Immediate Owner CAGE Legal Business Name (blank) (blank) Highest Level Owner CAGE Legal Business Name (blank) (blank) Executive Compensation Registrants In the System for Award Management (SAM) respond to the Executive Compensation questions in accordance with Section 6202 of P.L.110-252, amending the Federal Funding Accountability and Transparency Act (P.L.109-282). This Information is not displayed in SAM. It is sent to USAspending.gov for display in association with an eligible award. Maintaining an active registration in SAM demonstrates the registrant responded to the questions. Proceedings Questions Registrants in the System for Award Management (SAM.gov) respond to proceedings questions In accordance with FAR 52.209-7, FAR 52.209-9, or 2. C.F.R. 200 Appendix XiI. Their responses are displayed in the responsibility/qualification section of SAM.gov. Maintaining an active registration in SAM.gov demonstrates the registrant responded to the proceedings questions. Active Exclusions Records? No I authorize my entity's non -sensitive Information to be displayed in SAM public search results: Yes Business Types Entity Structure Corporate Entity (Tax Exempt) Profit Structure Non -Profit Organization Now,15. 2024 04:32:38 AM GMT hirps.Ilsam.gov/entio /U4BZCQ3SAfKQ1/coreDato?stahis=null Entity Type Business or Organization Organization Factors (blank) Page I oj2 Last updated by Diane Pautz on Oct 16, 2024 at 10.43 PM TYEST HAIYAII COMMUNITYHEALTH CENTER INC Soclo-Economic Types Check the registrant's Reps & Carts, if present, under FAR 52.212-3 or FAR 52.219-1 to determine if the entity Is an SBA -certified HUBZone small business concern. Additional small business Information may be found In the S13Xs Dynamic Small Business Search if the entity completed the SBA supplemental pages during registration. Accepts Credit Card Payments Debt Subject To Offset Yes No EFT Indicator CAGE Code 0000 4GYT3 Electronic Business 9 75-5751 Kuaklnl Highway DIANE Pautz, CFO Suite 203 Kallua Kona, Hawaii 96740 United States RICHARD J TAAFFE 75-5751 Kuakini Highway Suite 203 Kallua Kona, Hawaii 96740 United Slates Government Business 9 75-5751 Kuakini Highway DIANE Pautz, CFO Suite 203 Kallua Kona, Hawaii 96740 United States DIANE PAUTZ 75-5751 Kuakini Highway Suite 203 Kailua Kona, Hawaii 96740 United States Past Performance A 75-5751 Kuakini Highway RICHARD J TAAFFE Suite 203 Kallua Kona, Hawaii 96740 United States DIANE Pautz 75-5751 Kuakini Highway Suite 203 Kailua Kona, Hawaii 96740 United Slates NAICS Codes Primary NAICS Codes Yes 621498 This entity does not appear in the disaster response registry. NAICS Title All Other Outpatient Care Centers Nov 15.2024 04:32:38 AM GMT hilps://sam.got/entity/U48ZCQ3Sh1KQ1/coreDala?status=null Page 2 oj2 NOTICE TO PROPOSERS (Chapter 10313, HRS) Request for Proposals (RFP) NOTICE IS HEREBY GIVEN THAT PURSUANT TO CHAPTER 103D, HAWAI`I REVISED STATUTES, AS AMENDED, THE COUNTY OF HAWAI`I IS REQUESTING PROPOSALS FOR THE FOLLOWING: ADVERTISED -DATE: SEPTEMBER 61 2024 Request for Proposals (RFP) Title: COUNTY OF HAWAI'I STATE AND LOCAL FISCAL RECOVERY FUNDS COMMUNITY -BASED MENTAL HEALTH CENTER RFP Number: 4575 Proposal Due Date: Tuesday, October 8, 2024 at 4:00:OOPM HST County Department(s)/Division(s): DEPARTMENT OF RESEARCH AND DEVELOPMENT, COUNTY OF HAWAI`I The County of Hawaii Department of Research and Development C'R&D'Fg seeks proposals from qualified Applicants to establish a community -based mental health center offering integrated care, crisis stabilization, and community support services. Before submitting a proposal, the Proposer shall be responsible for reading and examining the Solicitation and/or proposal documents, including any offer pages, scope of work, special provisions, exhibits, General Terms and Conditions, addenda (if any), and any other sections or documents attached hereto, and all applicable requirements by law. Submission of a proposal shall be deemed verification of such reading and examination. No Proposer shall, in any way, be relieved of any obligation with respect to its proposal or the contract due to its failure or neglect to secure, receive, examine, familiarize itself with, acquaint itself with, or understand the work requirements, the Solicitation and/or proposal documents, or any addenda hereto, applicable standards or requirements, or existing conditions, difficulties, restrictions or obstacles. No claim for additional compensation to the Proposer shall be allowed based on lack of knowledge or misunderstanding. Pre -Proposal Conference: N/A 11 P a g e —Notice to Proposers— NOTICE TO PROPOSERS (Chapter 103D, HRS) - Request for Proposals (RFP) DATES TO ADVERTISE State of Hawaii — Hawaii Awards & Notices Data System (HANDS) September 6, 2024 ADVERTISEMENT FOR REQUEST FOR PROPOSAL (RFP) Sealed tenders will be received electronically on or before the due date of October 8, 2024, not later than 4:00pm Hawaii Standard Time (HST) on the Public Purchase System, and publicly opened at 4:00 pm on October 8, 2024, in the Office of the Purchasing Division, Department of Finance, County of Hawaii, 25 Aupuni Street, Hilo, Hawaii, for: RFP 4575 COUNTY OF HAWAI'I STATE AND LOCAL FISCAL RECOVERY FUNDS COMMUNITY -BASED MENTAL HEALTH CENTER Upon application, forms of proposal and specifications may be obtained from the above -named office, through the Public Purchase System (www.publicpurchase.com), an e-procurement system. Any request for approval to substitute any item or take exception to any specification, special provision or general condition, or clarification must be received through the Public Purchase System on or before September 20, 2024. All potential proposers are advised that the County of Hawaii reserves the right to reject any offer or proposal that does not follow these instructions. Aaron Frown Aaron Brown (Sep 6, 2024 08:04 HST) DIANE NAKAGAWA DIRECTOR OF FINANCE 21 P a g e —Notice to Proposers— NOTICE TO PROPOSERS (Chapter 103D, HRS) Request for Proposals NOTICE REGARDING ACT 188 (SLH 2O21) The purpose of this Notice is to inform you of the statutory requirements for a Contractor Past Performance Database C Database's, which was established pursuant to Act 188, SLH 2O21, to routinely capture a contractor's performance information in a structured and uniform way that is accessible and utilized when future procurements arise and where there is a need to determine whether a bidder or offeror is "responsible" as defined under HRS § 103D-104. This Database is housed in the Hawai'i Awards and Notices Database System ("HANDS'}. No matter the cost of the procurement, all County contracts for goods, services, and/or construction solicited under Competitive Sealed Biddings ("IFB") (HRS § 103D-302); .Competitive Sealed Proposals ("RFP") (HRS § 103D-303); or Sole Source (HRS § 103D-306) that are completed on or after January 1, 2024, shall have a Contractor's Performance Form ("Performance Form'j completed. This Performance Form is electronically accessible on the HANDS website. All Contractors must sign up for a HANDS account to access each Performance Form. There is no cost to sign up for the HANDS account. The below steps provide detailed information about this new process. 1. In its Offer or Proposal, the Offeror/Proposer shall include an email address for the appropriate person of the entity who will have the responsibility of receiving, reviewing, and completing the Performance Form. It is important that this email address be accurately and correctly typed in and is an email address account that is checked often. The County of Hawaii will input this specific email address into the Performance Form and upon submission of the form, the HANDS system will automatically send a notification to the Contractor's email address provided. 2. After completion of contract, County of Hawaii completes the Performance Form on HANDS. 3. After the County submits the Performance Form on HANDS, the Contractor will automatically receive a notification that the Performance Form is ready to be reviewed. Upon notification, the Contractor shall review the Performance Form within twenty (20) working days and submit comments, rebuttal statements, or additional information/attachments, or the Performance Form will be considered completed by the Contractor after the twenty (20) working days have elapsed. Note: A Contractor may go back in and edit its comments as many times, up to twenty (20) working days after the Contractor was notified to take action. 4. At the end of the twenty (20) working days, the County will automatically receive an email notification from HANDS, and the County's Procurement Officer must review (within twenty (20) working days upon notification) the Performance Form as completed by the Contractor. 5. After the County's Procurement Officer finalizes the Performance Form, it is kept in the HANDS Database, and the information included therein may be used in making a "responsiblity" determination pursuant to Act 188. More information about this new law, its requirements imposed on the County, and the HANDS website may be accessed at the following websites: • To access or sign up for Database: https://hands.ehawaii.gov/hands/contractorperformance • Applicable State Law (HRS 103D-329): https://www.capitol.hawaii.gov/hrscurrent/Vo102_Ch0046- 0115/H RS 0103 D/ H RS_0103 D-0329. htm 31 Page —Notice to Proposers— • State Procurement Office FAQs on the Database: https://spo.hawaii.gov/faqs/#tabs-1 • State Procurement Office Circulars on the Database: https:HsPo.hawaii.gov/references/procurement-circulars/ P a g e ^Notice to ProposersN Request for Proposals RFP#4575 ADDENDUM *it ADDENDUM DATE: OCTOBER 4, 2024 Request for Proposals (RFP) Title: COUNTY OF HAWAI' I STATE AND LOCAL FISCAL RECOVERY FUNDS COMMUNITY -BASED MENTAL HEALTH CENTER f RFP Number: 4575 Due Date: October 8, 2024, 4:000m HST Bid Contact: Stephanie Letro Stephanie.Letro(@hawaiico=. og_v (8o8)96i-8443 This addendum is to incorporate the following changes, deletions and/or additions to the original Request for Proposals. 1. Addition of Appendix i to Attachment F — Federal Terms and Conditions (see Attachment 1) All other terms and conditions of RFP remain unchanged. ATTACHMENT I TO ADDENDUM I APPENDIX I TO ATTACHMENT F: FEDERAL TERMS AND CONDITIONS Certification for Contracts, Grants, Loans, and Cooperative Agreements The undersigned certifies, to the best of his or her knowledge and belief, that: 1. No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of an agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the malting of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement. 2. If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or -employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions. 3. The undersigned shall require that the language of this certification be included in the award documents for all subawards at all tiers (including subcontracts, subgrants, and contracts under grants, loans, and cooperative agreements) and that all subrecipients shall certify and disclose accordingly. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by section 1352, title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than.$10,000 and not more than $100,000 for each such failure. The Contractor, , certifies or affirms the truthfulness and accuracy of each statement of its certification and disclosure, if any. In addition, the Contractor understands and agrees that the provisions of 31 U.S.C. Chap. 38, Administrative Remedies for False Claims and Statements, apply to this certification and disclosure, if any. Signature of Contractor's Authorized Official Name and Title of Contractor's Authorized Official Date County of Hawaii Department of Research and Development Request for Proposals County of Hawai `i State and Local Fiscal Recovery Funds Community -Based Mental Health Center RFP No. 4575 September 6, 2024 Note: It is the Applicant's responsibility to check the public procurement notice website, the request for proposals website, or to contact the RFP point -of -contact identified in the RFP for any addenda issued to this RFP. The County of Hawai `i shall not be responsible for any incomplete proposal submitted as a result of missing addenda, attachments or other information regarding the RFP. RFP #4575 September 6, 2024 REQUEST FOR PROPOSALS County of Hawaii State and Local Fiscal Recovery Funds Community -Based Mental Health Center RFP No. 4575 The County of Hawaii Department of Research and Development ("R&D") seeks proposals from qualified Applicants to establish a community -based mental health center offering integrated care, crisis stabilization, and community support services. The COVID-19 pandemic exacerbated pre-existing mental health concerns for many individuals. The 2021 U.S. Surgeon General's Advisory on Protecting Youth Mental Health highlights a surge in psychological distress among young people since the pandemic began. Those historically vulnerable,. including youth with disabilities, racial and ethnic minorities such as Native Hawaiians and Pacific Islanders, LGBTQ+ youth, and other marginalized populations, have been disproportionately affected.' According to the Agency for Healthcare Research and Quality (AHRQ), approximately 20% of U.S. children and adolescents aged 3-17 experience mental, emotional, developmental, or behavioral disorders. This crisis is further exacerbated by a significant increase —over 401/6—in suicidal behaviors among high school students within the past decade, as reported by the AHRQ.2 The severity of this issue is underscored by recent data from the Centers for Disease Control and Prevention (CDC). The 2021 Youth Risk Behavior Survey found that more than 4 in 10 (42%) high school students reported persistent feelings of sadness or hopelessness, while nearly one- third (29%) experienced poor mental health. Alarmingly, over one in five (22%) seriously considered attempting suicide, and one in ten (10%) actually attempted suicide.3 The mental health crisis extends beyond youth, significantly impacting Hawai`'s adult population. Residents of Hawaii Island, in particular, face a substantial burden, with 18%_of adults aged 26 and older reporting mental illness, according to the Hawaii State Department of Health (DOH).4 t Protecting Youth Mental Health: 77ie U.S. Surgeon General's Advisory I Office of the Surgeon General Published in 2021. Accessed on March 12, 2024. ~ ' Child and Adolescent Mental Health: 2022 National Healthcare Quality and Disparities Report I Agency for Healthcare Research and Quality Published in October 2022. Accessed on Marchl2, 2024. 3 Youth Risk Behavior Survev Data Summary & Trends Report: 2011 20211 Centers for Disease Control and Prevention Published in 2022. Accessed on March 12, 2024. 4 AMHC 2021 Community Report I Behavioral Health Administration, Hawai'i State Department of Health. Published in October 2022. Accessed on March 12, 2024. 2 RFP #4575 To address the critical shortage of mental health services, the County of Hawaii ("County") intends to establish a new Community -Based Mental Health Center ("Center"). The County has identified three units (Suite 200, 202, and 203) located at 45 Mohouli Street, Hilo, Hawaii 96720, as a potential Center location. The County has been actively engaging in productive discussions with the landlord/management company to explore the possibility of leasing these units for purposes of carrying out the services at the Center. The County intends for the selected Applicant ("Applicant") to secure and finalize a lease agreement with the landlord/management company of the property located at 45 Mohouli Street, Hilo, Hawaii. Given the anticipated award/contract initiation in January 2025 of this RFP, the Applicant should coordinate with the landlord/management company to ensure the lease start date aligns with this anticipated timeframe. The County invites qualified nonprofit organizations to submit proposals to operate this Center and expand access to mental health care for community members. The selected Applicant will be responsible for establishing a lease agreement with the landlord/management company at 45 Mohouli Street, Hilo, Hawaii, 96720, and newly starting the Center's operations. RFP #4575 PROPOSAL DELIVERY INFORMATION SHEET NUMBER OF COPIES TO BE SUBMITTED: One (1) original electronic file (PDF) and one (1) redacted copy (PDF) of the proposal (please redact any proprietary and/or confidential information) All proposals shall be made on the Public Purchase website by attaching the template of the proposals included herein and shall be signed by the Applicant (attachment B, Proposal Application Identification Form). All pages of the proposal, including any referenced attachments and/or exhibits, must be uploaded with the proposal by 4:00 p.m. Hawaii Standard Time (HST) on October 8, 2024. Proposals will not be accepted outside of Public Purchase. All proposals shall be responded to through Public Purchase. RFP COORDINATOR Nicole Charon, Purchasing Agent Phone: (808) 961-8442 Email: Nicole.Charon@hawaiiCounty.gov 4 RFP Table of Contents Section I Administrative'Overview 1.1 Procurement Timetable............................................................................................1 1..2 Website Reference...................................................................................................2 1.3 Authority..................................................................................................................3 1.4 Definitions................................................................................................................3 1.5 RFP Organization.....................................................................................................4 1.6 Contracting Office...................................................................................................5 1.7 RFP Point-of-Contact...............................................................................................5 1.8 Pre -Proposal Conference.........................................................................................5 1.9 Submission of Questions..........................................................................................5 1.10 Submission of Proposals..........................................................................................5 1.11 Discussions with Applicants....................................................................................8 1.12 Opening of Proposals...............................................................................................8 1.13 RFP Amendments....................................................................................................8 1.14 Final. Revised Proposals...........................................................................................8 1.15 Cancellation of Request for Proposals.....................................................................9 1.16 Costs for Proposal Preparation.................................................................................9 1.17 ......................................................................... Rejection of Proposals E ....................9 1.18 Notice of Award........................................................................................................9 1.19 Protests.....................................................................................................................9 1.20 Insurance................................................................................................................10 1.21 Availability of Funds.............................................................................................13 1.22 General Terms and Conditions of the Contract.....................................................13 1.23 System for Award Management and Universal Identifier Requirements..............13 1.24 Compliance with Uniform Requirements.............................................................13 1.25 Compliance with Terms of Funding......................................................................13 1.26 Additional Contract Provisions for Non -Federal Entity Contracts ........................14 1.27 Conflicts of Interest...............................................................................................14 1.28 Non-Collusion........................................................................................................14 1.29 Cost or Pricing Data..............................................................................................15 1.30 Compensation and Method of Payment.................................................................15 Section 2 - Service Specifications 2.1. Introduction............................................................................................................17 2.2. Contract Monitoring and Evaluation.....................................................................20 2.3. General Requirements and Scope of Work............................................................24 Section 3 - Proposal Application Instructions General Instructions for Completing Applications............................................................35 3.1. Entity Description..................................................................................................36 3.2. Community Benefit................................................................................................36 3.3. Project Description.................................................................................................36 3.4. Staffing and Personnel...........................................................................................37 3.5. Financial and Sustainability...................................................................................37 3.6. Evaluation and Performance Measurement...........................................................38 Section 4 - Proposal Evaluation 4.1. Introduction............................................................................................................40 4.2. Evaluation Process.................................................................................................40 4.3. Evaluation Criteria.................................................................................................40 Section 5 - Attachments 5.1 Proposal Application Checklist........................................................... Attachment A 5.2 Proposal Application Form................................................................. Attachment B 5.3 Sample Table of Contents.................................................................. Attachment C 5.4 Line Item Budget with Budget Narrative ...........................................Attachment D 5.5 County's General Terms and Conditions, dated May 10, 2023 ......... Attachment E 5.6 Federal Terms and Conditions, including Appendix I ........................Attachment F 5.7 Building Plan (2" d Floor) for 45 Mohouli Street, Hilo, Hawaii ....... Attachment G 5.8 Sample Expenditure Report with Certification .................................Attachment H 5.9 Payment Schedule...............................................................................Attachment I lu Section 1 Administrative Overview 1. ADMINISTRATIVE OVERVIEW Applicants must read each section of the RFP thoroughly. It is the responsibility of the Applicant to understand the requirements of this RFP. No Proposer shall, in any way, be relieved of any obligation with respect to its proposal or the contract due to its failure or neglect to secure, receive, examine, familiarize itself with, acquaint itself with, or understand the work requirements, proposal documents, or any addenda hereto. No claim for additional compensation to the Proposer shall be allowed based on lack of knowledge or misunderstanding. 1.1 Procurement Timetable A. Schedule. Note that the procurement timetable represents the County's best estimated schedule. If an activity on this schedule is delayed, the rest of the schedule will likely be shifted by the same number of days. Contract start dates may be subject to the issuance of a notice to proceed. Activity Scheduled Date* Public notice announcing Request for Proposals (RFP) September 6, 2024 Closing date for submission of written questions for written responses September 20, 2024 County responses to written questions submitted September 27, 2024 Proposal submittal deadline October 8, 2024 Anticipated Contract start date January 1, 2025 *NOTE: All deadlines, unless otherwise noted, are 4:00 p.m. HST B. Evaluation Panel. An evaluation panel comprised of at least three governmental employees with expertise in community health care delivery and support services will review and score applications to select the grant awardees in accordance with the evaluation criteria and categories set forth in sections 3 and 4 of this RFP, and in accordance with Federal guidance regarding eligible uses of ARPA funds. Note that private consultants may also serve on the evaluation committee and shall have sufficient knowledge to serve on the committee, serve without compensation, and sign an affidavit (a) attesting to having no personal, business, or any other relationship that will influence their decision in the evaluation process; (b) agreeing not to disclose any information on the evaluation process to other than an employee of the governmental body; and (c) agreeing that their names will become public information upon award of the grants. 1.2 Website Item Website References https://www.cgpitol.hawaii. ovg /hrsc Hawaii Public Procurement urrent/Vol02 Ch0046- 1 Code (Hawai�i Revised 0115/1-IRS0103D/HRS 0103D-.htm Statutes) (HRS) Hawaii Administrative Rules https:Hspo.hawaii.gov/references/ha 2 (HAR) for Purchases of r/ oods/ Goods, Services &— Construction https://home.treasuiy.gov/policy- issues/coronavirus/assistance-for- U.S. Department of Treasury state-local-and-tribal- 3 State and Local Fiscal governments/state-and-local-fiscal- Recovery Funds recovery -funds U.S. Department of Treasury — hqps://www.govinfo.gov/conten�t/k 4 Final Rule g/FR-2022-01-27/pdf/2022- 31 CFR Part 35 00292. df U.S. Department of Treasury — https://home.treasuEy_gov/system/fil 5 Overview of the Final Rule es/136/SLFRF-Final-Rule- Overview.pdf State and Local Fiscal https://home.treasury.gov/system/fil 6 Recovery Funds - FAQs es/136/SLFRF-Final-Rule-FAQ.pdf hLtps://home.treasuEy.gov/system/fil U.S. Department of the es/136/SLFRF-Compliance-and- 7 Treasury —Compliance and Reporting-Guidance:pdf Reporting Guidance 8 Compliance Express http://spo.hawaii.gov/hce/ Hwai'i 9 Department of Taxation http://tax.hawaii.gov 10 Department of Labor and http://labor.hawaii.gov Industrial Relations Department of Commerce and 11 Consumer Affairs, Business http://cca.hawaii.gov Registration click "Business Registration" 12 Internal Revenue Service http://www.irs.gov/ Note: Website addresses may change from time to time. If a State link is not active, try the State of Hawaii website at http://hawaii.2ov. If a Federal link is not working, try the U.S. Department of the Treasury website at https://home.treasury.2ov/policy- issues/coronavirus/assistance-for-state-local-and-tribal-governments/state-and-local- fiscal-recovery-funds/eligible-uses and scroll to find the applicable item). 1.3 Authority This RFP is issued under the provisions of the Hawaii Revised Statutes ("HRS") Chapter 103D and its implementing Hawaii Administrative Rules. Upon submittal of a proposal, all prospective Applicants are charged with presumptive knowledge of all requirements of the cited authorities. Submission of a validly executed proposal by any prospective Applicant shall constitute admission of such knowledge on the part of such prospective Applicant. 1.4 Definitions (as applicable) • "Beneficiary" means households, small businesses, or nonprofits that can receive assistance (in the form of grants or other consideration) based on impacts of the COVID-19 pandemic that they experienced. • "Clinical services" mean direct patient care services provided by healthcare professionals. This includes medical, psychiatric, psychological, and therapeutic services delivered in various settings such as hospitals, clinics, or private practices to diagnose, treat, and manage health conditions. • "Crisis stabilization" means a short-term, 24/7 mental health intervention designed to provide immediate support and stabilization for adult consumers experiencing acute mental health crises. • "Integrated care" means the incorporation of mental health and behavioral health services into primary care settings. This approach ensures that patients receive comprehensive care that addresses both their physical and mental health needs in a single, coordinated environment. • "Integrated mental health services" mean a comprehensive approach to mental healthcare that combines various treatment modalities and providers to address the complex needs of individuals with mental health conditions. This approach emphasizes collaboration, coordination, and continuity of care across different settings, such as hospitals, primary care clinics, and community -based programs. • "Community support services" mean a range of programs and interventions designed to assist individuals with mental health conditions in navigating their daily lives and achieving optimal wellness within their communities. • "Integrated primary care services" mean a comprehensive approach to healthcare that combines traditional medical services with a focus on overall well-being and prevention. It involves a team of healthcare professionals working collaboratively to address both physical and mental health needs, as well as social determinants of health. • "Mental health services" mean a range of treatments and supports aimed at addressing mental health conditions. This includes therapy, counseling, medication management, and psychiatric care to help individuals manage and improve their mental health and emotional well-being. • "Nonprofit" means a business or charity that has received non-profit status from the Internal Revenue Service (IRS) under code 501(c). • "Recipient" means the County of Hawaii and does not include subrecipients or individuals that are beneficiaries of the award. "Small Business" means a business that (1) has no more than 500 employees (including self-employed individuals), or if applicable, the size standard in number of employees established (https://www.sba.gov/document/support-table-size-standards) by the Administrator of the Small Business Administration for the industry in which the business concern or organization operates, and (2) is a small business concern as defined in section 3 of the Small Business Act (15 U.S.C. 632), which includes, among other requirements, that the business is, independently owned and operated and is not dominant in its field of operation). • "Subaward" means an award or a contract provided by the County to a subrecipient for the subrecipient to carry out part of the State and Local Fiscal Recovery Funds Program on behalf of the County. • "Subrecipient" means one or more contractors under this RFP that receive a subaward from the County to carry out part of the State and Local Fiscal Recovery Funds Program of the United States Department of the Treasury. This term does not include an individual that is a beneficiary of such award. A subrecipient may also be a recipient of other federal awards directly from a federal awarding agency. Subrecipients do not need to have experienced a negative economic impact of the pandemic; rather, they are providing services to beneficiaries that experienced an impact. 1.5 RFP Organization This RFP is organized into five sections: Section 1, Administrative Overview: Provides Applicants with an overview of the procurement process and the terms and conditions applicable to the procurement. Section 2, Service Specifications: Provides Applicants with a general description of the tasks to be performed, delineates provider responsibilities, and defines deliverables (as applicable). Section 3, Proposal Application Instructions: Describes the required format and content for the proposal application. Section 4, Proposal Evaluation: Describes how proposals will be evaluated by the County's Evaluation Panel. Section 5, Attachments: Provides Applicants with information and forms necessary to complete the application. Also includes attachments for the County's General Terms and Conditions and the Federal Terms and Conditions. 4 1.6 Contracting Office The Contracting Office is responsible for overseeing the contract(s) resulting from this RFP, including system operations, fiscal agent operations, and monitoring and assessing provider performance. The Contracting Office is: County of Hawaii Department of Research and Development 25 Aupuni Street, Room 1301 Hilo, HI 96720 Telephone number: (808) 961-8366 Email address: chresdev@hawaiiCounty.gov 1.7 RFP Point -of -Contact From the release date of this RFP until the selection of the successful provider(s), any inquiries and requests shall be directed to the sole point -of -contact identified below. Nicole Charon, Purchasing Agent Phone: (808) 961-8442 Email: Nicole.CharonghawaiiCounty.gov All written questions regarding this RFP shall be entered in Public Purchase. 1.8 Pre -Proposal Conference There will not be a pre -proposal conference for this RFP. 1.9 Submission of Questions Applicants shall submit all questions via Public Purchase. All questions will receive a response through the Public Purchase platform. Deadline for submission of written questions: Date: September 20, 2024 Time: 4:00 p.m., HST 1.10 Submission of Proposals A. Forms/Formats. Refer to the Proposal Application Checklist in Section 5, Attachments for the location of program specific forms. 1. Attachment A: Proposal Application Checklist. Provides Applicants with information on where to obtain the required forms: information on program specific requirements; which forms are required and the order in which all components should be assembled and submitted to the County purchasing agency. 2. Attachment B: Proposal Application Form. Provides identification of the Applicant proposal found in Section 5, Attachments. 3. Attachment D: Line Item Budget. Provides simple spreadsheet of the Applicant's proposed budget found in Section 5, Attachments. Applicants may use their own form or spreadsheet so long as it includes the same information contained in Attachment D. 4. Attachment F, Appendix I. Provides a Federal certification sheet that shall be signed by the Applicant's representative and returned to the County upon proposal submittal. B. Program Specific Requirements. Program specific requirements are included in Section 2, Service Specifications and Section 3, Proposal Application Instructions, as applicable. If required, Federal and/or State certifications are listed on the Proposal Application Checklist available in Section 5, Attachments. C. Multiple or Alternate Proposals. Multiple or alternate proposals shall not be accepted unless specifically provided for in Section 2 of this RFP. In the event alternate proposals are not accepted and an Applicant submits alternate proposals, but clearly indicates a primary proposal, it shall be considered for award as though it were the only proposal submitted by the .Applicant. D. Proprietary or Confidential Information (Redactions). When submitting its proposal, one (1) redacted copy of the proposal shall be provided at the same time the unredacted proposal is submitted via the Public Purchase System. In the redacted copy, Proposers shall properly redact. any confidential information, trade secrets, or other proprietary data that are to remain confidential, subject to section 3-122-58, HAR. Any information redacted as confidential will remain confidential to the extent provided by law. Proposals submitted to the County shall become the property of the County. Failure to redact proprietary and confidential information will result in the information being available for public inspection. The County shall not be liable for the public disclosure of any proprietary or confidential information that the Proposer did not redact, or properly redact. Note that price is not considered confidential and will not be withheld. E. Hawai`i Compliance Express (HCE). All subrecipients shall comply with all laws governing entities doing business in the State. Awarded subrecipients must register with HCE for online compliance verification from the Hawaii State Department of Taxation (DOTAX), the Internal Revenue Service (IRS), the Hawaii State Department of Labor and Industrial Relations (DLIR), and the Hawaii State Department of Commerce and Consumer Affairs (DCCA). There is a nominal annual registration fee (currently $12) for the service. The HCE's online "Certificate of Vendor Compliance" provides the registered Applicant's current compliance status as of the issuance date and is required for both contracting and final payment purposes. Refer to subsection 1.2, Website Reference, for HCE's website address. • Tax Clearance. Pursuant to HRS §103-53, as a prerequisite to entering into contracts, subrecipients are required to have a tax clearance from the Hawaii State Department of Taxation (DOTAX) and the Internal Revenue Service (IRS). Refer to Section 1.2, Website Reference for DOTAX and IRS website address. • Labor Law Compliance. Pursuant to HRS §103-55, subrecipients shall be in compliance with all applicable laws of the federal and state governments relating to workers' compensation, unemployment compensation, payment of wages, and safety. Refer to Section 1.2, Website Reference for the Department of Labor and Industrial Relations (DLIR) website address. Business Registration. Prior to contracting, subrecipient owners of all forms of business doing business in the State of Hawaii, except sole proprietorships, charitable organizations, unincorporated associations and foreign insurance companies, shall be registered and in good standing with the Department of Commerce and Consumer Affairs (DCCA), Business Registration Division. Refer to Section 1.2, Website Reference. F. Wages Law Compliance. If applicable, upon award, the subrecipient certifies that it is in compliance with HRS § 103-55, Wages, hours, and working conditions of employees of contractors performing services. Refer to HRS Section 103-55, at the Hawaii State Legislature website. (See subsection 1.2, Website Reference for DLIR website address.) G. Campaign Contributions by State and County Contractors. HRS §11- 355 prohibits campaign contributions from certain State or County government contractors during the term of the contract if the contractors are paid with funds appropriated by a legislative body. Refer to Section 1.2, Website Reference for statutes and Campaign Spending Commission website address. H. Proposal Submittal. All proposals shall be submitted through the Public Purchase website and by attaching the template of the proposals included herein and shall be signed by the bidder (Attachment B. Proposal Application Identification Form). All pages of the proposal, including any referenced attachments and/or exhibits, shall be submitted on or before 4:00 p.m. HST on October 8, 2024. Proposals will not be accepted outside of Public Purchase. All proposals shall be responded to through Public Purchase. 1.11 Discussions with Applicants A. Prior to Submittal Deadline. All questions related to this RFP and the County's requirements must be posted on Public Purchase prior to September 20, 2024, at 4:00 p.m. HST, unless the deadline is changed by a posted addendum. B. After Proposal Submittal Deadline. At the County's discretion, discussions may be conducted with Applicants whose proposals are determined to be reasonably susceptible of being selected for award, but proposals may be accepted without discussions, in accordance with HAR §3-143-43. 1.12 Opening of Proposals Procurement files shall be open to public inspection in accordance with HAR §3- 122-58. 1.13 RFP Amendments The County reserves the right to amend this RFP at any time prior to the closing date for final revised proposals. The County will post an addendum to Public Purchase advising of any amendments to this RFP. 1.14 Final Revised Proposals If requested by the County, final revised proposals shall be submitted in the manner, and by the date and time specified by the County. If a final revised proposal is not submitted, the previous submittal shall be construed as the Applicant's best and final offer/proposal. The Applicant shall submit only the section(s) of the proposal that are amended, along with the Proposal Application Identification Form. After final revised proposals are received, final evaluations will be conducted for an award. 1.15 Cancellation of Request for Proposal The RFP may be canceled and any or all proposals may be rejected in whole or in part, when it is determined to be in the best interest of the County. 1.16 Costs for Proposal Preparation Any costs incurred by Applicants in preparing or submitting a proposal are the Applicants' sole responsibility. 1.17 Rejection of Proposals The County reserves the right to consider as acceptable only those proposals submitted in accordance with all requirements set forth in this RFP and which demonstrate an understanding of the problems involved and comply with the service specifications. Any proposal offering any other set of terms and conditions contradictory to those included in this RFP may be rejected without further notice. The County reserves the right to reject any or all proposals when in the County's opinion such rejection will be in the best interest of the County. Reasons for rejection of a proposal may include, but are not limited to, the reasons stated in these instructions, and the reasons stated in HAR §3-122-97. 1.18 Notice of Award The award(s) shall be issued in writing to the responsible Applicant whose proposal is determined in writing to provide the best value to the County taking into consideration price and the evaluation criteria in the RFP and posted pursuant to section 103D-701, FIRS, for five working days. The determinations required by this section shall be final and conclusive unless clearly erroneous, arbitrary, capricious, or contrary to law. Any agreement arising out of this solicitation is subject to the approval of the Hawaii County Corporation Counsel as to form, and to all further approvals, including the approval of the Mayor, required by statute, regulation, rule, order or other directive. No work is to be undertaken by the Applicant(s) awarded a contract prior to the contract commencement date. The County is not liable for any costs incurred prior to the official starting date. 1.19 Protests Any protest regarding procurement law or procedure shall strictly follow the procedure described in Chapter 126, Hawaii Administrative Rules, Department of Accounting and General Services, Subtitle 11, Procurement Policy Board. All protests must be filed in writing to Finance Director, County of Hawaii. It shall be the responsibility of any protester to review all public documents relating to this RFP and his or any other vendor's contract award within five (5) working days of the date the information or action, which is the basis of the protest, became available for public inspection and file all protests within that period. Any protest regarding the content of this solicitation must be properly filed prior to the date set for the receipt of offers. While the County may make efforts to notify all participants of awards, failure to receive such notification shall not relieve any aggrieved bidder of their responsibility of reviewing public records on a timely basis, and filing their protest within five (5) days of the date a "Notice of Award" is posted. Any protest shall not be transmitted via e-mail or facsimile. A non -selected proposer (Applicant) may request a debriefing to review the County's basis of award by filing a written request for debriefing to Finance Director, County of Hawaii within three (3) working days of the posting of the Notice of Award. A debriefing will be scheduled as expeditiously as possible and the non -selected Proposer shall have an additional period of five (5) working days following the debriefing in which to file a protest as outlined above. No other action or proceeding involving this contract shall be commenced by either party except in the Circuit or District Courts of the Third Circuit Court, County of Hawaii, and State of Hawaii; nor shall any action commenced in such court be removed or transferred to any other State or Federal Court. 1.20 Insurance If applicable, the awarded Subrecipient(s) shall have the following insurance coverage(s) and certificate(s) shall be required to cover the work contemplated in this RFP. Certificate of Insurance. Subrecipient shall `provide certificate(s) of insurance with the execution of the contract and before any work begins to: County of Hawaii 25 Aupuni Street Hilo, HI 96720 Certificate of Insurance wording: "County of Hawai'i and its officers and employees are included as an "Additional Insured" on the policy(s) evidenced (i.e. General and Automobile Liability; and Umbrella/Excess Liability) as respect to work performed by, or on behalf of, the Insured. Such insurance shall be on a Primary and Non -Contributory basis with a Waiver of Subrogation in favor of the Countv ofHawai`i. Department ofResearch and Development. RFP No. State and Local Fiscal Recovery Funds Promram. County's review or acceptance of insurance is not intended to limit or qualify the liabilities or obligations assumed by the Subrecipient. The limits required under the Agreement may not be adequate and any limit requirement contained in the Agreement shall not act as a limitation of the Subrecipient's indemnification and/or liability. In the event Subrecipient fails to furnish a proper certification within ten (10) calendar days of notification of intent to award, the County may consider the Subrecipient's proposal void and award to the next responsible, responsive vendor. Any Subrecipient who employs others must also provide a certificate stating that they have the legally required workers' compensation insurance. Subrecipient shall not reduce coverage, terminate, or otherwise alter the insurance without sixty (60) days' prior written notice to, and written approval 10 of, the County. Upon request, Subrecipient shall send a copy of the insurance policy after receiving same from the insurance company. The limits required under the contract may not be adequate and any limit requirement contained in the contract shall not act as a limitation of Subrecipient's indemnification and/or liability. Modifications or Cancellations of Insurance Policy. The insured Subrecipient .is required to notify the County at least sixty (60) days prior to the insured Subrecipient seeking to modify or cancel any of the insurance policies required by this Agreement. The insured Subrecipient is also required to notify the County immediately of any modification or cancellation of any required insurance policy that is initiated by the insurance carrier. Insurance Coverage Requirements. Subrecipient shall, at its sole expense during the life of the Agreement, procure and maintain insurance coverages and limits against all claims for injuries to persons or damages to property which may arise from, or in connection with, the performance of work by the Subrecipient or its agents, representatives, employees or subcontractors. All coverage and limits available to the Subrecipient, as Named Insured, shall also be available and applicable to the County, as an Additional Insured. County's review or acceptance of insurance is not intended to limit or qualify the liabilities or obligations assumed by the Subrecipient. Insurance shall be issued by insurance company(s) authorized to do business in the State of Hawaii with at least an A.M. Best's Key Rating of A- VII. County of Hawaii retains the right to review the coverages, policy forms and amounts of the insurance required by this Agreement. If, in the County's reasonable judgment, the insurance provisions in this Agreement do not provide adequate protection, then the Subrecipient may be required to obtain insurance sufficient in coverages, forms, and amounts to provide such additional protection. A. Commercial General Liability (CGL). Coverage at least as broad as Insurance Services Office (ISO) Form CG 00 01 for bodily injury, property damage, products and completed operations and personal & advertising injury. Providing limits of liability of not less than: $1,000,000 Each Occurrence; $2,000,000 General Aggregate; $2,000,000 Products/Completed Operations Aggregate. Such insurance shall be on a Primary and Non -Contributory basis with a Waiver of Subrogation in favor of the County of Hawaii. County of Hawai'i and its officers and employees are included as an "Additional Insured" as respect to work performed by, or on behalf of, the Insured. B. Business Automobile Liability. Coverage at least as broad as ISO Form CA 00 01 covering all owned, non -owned and hired automobiles (assuming Subrecipient will be using vehicle(s) in performance of the 11 scope of work). With limits of liability of not less than $1,000,000.00 in combined single limit, or equivalent split limits, for each accident. Such insurance shall be on a Primary and Non -Contributory basis with a Waiver of Subrogation in favor of the County of Hawaii. County of Hawai'i and its officers and employees are to be included as an "Additional Insured". C. Workers' Compensation and Employers' Liability. As required by Hawaii Revised Statutes Chapter 386 and regulations thereunder. Providing limits of liability of not less than Workers' Compensation: Statutory limits and Employers' Liability: Bodily Injury with minimum limits of $1,000,000 for each accident; $1,000,000 by disease — each employee; and $1,000,000 by disease —policy limit, with a Waiver of Subrogation in favor of the County of Hawaii. D. Umbrella or Excess Liability. Contractor may satisfy the minimum liability limits required for General, Auto and Employers' Liability coverages noted above under an Umbrella or Excess Liability policy that "follows form" over underlying primary insurance coverages. Providing limits of liability of not less than $10,000,000 Each Occurrence and $10,000,000 Aggregate. Such insurance shall be on a Primary and Non - Contributory basis with a Waiver of Subrogation in favor of the County of Hawai `i. E. Professional Liability (Errors & Omissions). (e.g. Contracts with service providers providing professional services including but not limited to Accountants, Advertising, Architects & Engineers (design/build), Information Technology Services, Lawyers, Medical Professionals, Property Management, Security, Surveying, and other professionally licensed or certified professions.) If professional services are required in the Scope of Work, the Proposer shall procure and maintain professional liability coverage, and medical malpractice as appropriate. Professional liability and medical malpractice policies may be written on either an occurrence or claims made basis. If the policy is written on a claims -made basis the Contractor will continue to maintain and provide evidence of this coverage for a period of two years after substantial completion of the project. Coverage for any negligent acts, errors, or omissions, or medical malpractice while rendering, or failing to render, Professional or medical Services with limits of liability of not less than $1.,000,000 each claim and $2,000,000 annual aggregate. NOTE: Policy(s) may be written on either an occurrence or claims -made basis. If written on a claims -made basis, then the retroactive date must be shown as back to the date of, or prior to, the inception of this Contract. Such claims -made coverage must be maintained for at least five (5) years after completion of the Contract/Agreement of work). 12 1.21 Availability of Funds The award of a contract or grants, as applicable, is subject to the availability of funds. 1.22 General Terms and Conditions of Contract The County's General Terms and Conditions for Goods and Services, dated May 10, 2023 ("General Terms and Conditions"), is incorporated herein by reference and is attached as Attachment E. Proposals submitted with any alterations to the County's General Terms and Conditions so made by the Applicant without prior approval by the County may be sufficient cause for rejection of the proposal. 1.23 System for Award Management and Universal Identifier Requirements Subrecipient agrees to maintain the currency of its information in the federal government's System for Award Management ("SAM") until it receives final payment. Subrecipient agrees to maintain its UEI number (formerly the DUNS number) for the same duration. 1.24 Compliance with Uniform Requirements Subrecipient shall comply with Uniform Administrative Requirements of 2 CFR Part 200, "Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards," except for those provisions excluded by the United States Department of the Treasury. A copy of these regulations is available at the link provided herein for the Code of Federal Regulations. https://www.ecfr. gov/cci-bin/text- idx?tpl=/ecftbrowse/Title02/2cfr200 main 02.tpl. 1.25 Compliance with Terms of Funding Proposer(s) and Subrecipient(s) acknowledge that funds will be provided pursuant to the American Rescue Plan Act ("ARPA") funds from the United States Department of the Treasury ("U.S. Treasury"), through its State and Local Fiscal Recovery Fund ("SLFRF") Program. Proposer(s) and Subrecipient(s) acknowledge that the use of funds shall be subject to the County's SLFRF Award Terms and Conditions, set forth in Appendix I to the Federal Terms and Conditions, the Federal Terms and Conditions set forth in section 1.25 Additional Contract Provisions for Non -Federal Entity Contracts Under Federal. Awards, incorporated herein by referenced and attached as Attachment F, and other applicable law and guidance. Proposer(s) and Subrecipient(s) agree -to be bound by and will comply with all terms and conditions of the abovementioned. The resulting contract from this RFP includes any ARPA guidance issued by the U.S. 13 Treasury or any other federal agency with authority for administration of the ARPA funds. 1.26 Additional Contract Provisions for Non -Federal Entity Contracts Under Federal Awards (Appendix II to 2 CFR § 200 — Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards) The County is the recipient of the ARPA funds from the U.S. Treasury through its State and Local Fiscal Recovery Fund Program. In consideration for receiving ARPA funds as a Subrecipient (or "contractor") for eligible expenses under the ARPA, the Subrecipient shall comply with the required federal terms and conditions (the "Federal Terms and Conditions") found in Attachment F to this RFP. The Subrecipient shall attach these Federal Terms and Conditions to all subcontracts, if subcontracts are allowed by Section 2, and shall require that all subcontractors attach these Federal Terms and Conditions to their sub - subcontracts at all levels. 1.27 Conflicts of Interest Subrecipient agrees to abide by the provisions of 2 CFR § 200.318, which includes maintaining a conflict of interest policy and that such conflict of interest policy is applicable to each activity funded under the SLFRF Program. All contractors must disclose in writing to the U.S. Treasury or the County, as appropriate, any potential conflict of interest affecting the awarded funds in accordance with 2 CFR §200.112. 1.28 Non -Collusion Entities submitting applications shall warrant that their proposal is made without any previous understanding, agreement or connection with any person, entities, or corporation submitting a separate application for the same project and is in all respects fair, without outside control, collusion, fraud or otherwise illegal action. This condition shall not apply to applications which are submitted by entities who have partnered with others to submit a cooperative application that clearly identifies a primary contractor and the associated sub -contractors. 1.29 Cost or Pricing Data Pursuant to HRS § 103D-312 and Subchapter 15, Chapter 122, Title 3 of the Hawai `i Administrative Rules, the Subrecipient, upon request by the County and prior to the begining of price negotiations, may be required to submit cost or pricing data. Cost and pricing data means all facts as of the date of price agreement that prudent buyers and sellers would reasonably expect to affect price negotiations significantly. Additionally, where cost or pricing data may be required, the Subrecipient may also be required to submit a separate certification 14 of the cost or pricing data. Applicants are directed to review HRS § 103D-312 and § 3-122-122 et al., for additional guidance. 1.30 Compensation and Method of Payment Payment Structure: The County will employ a deliverable -based reimbursement contract to compensate the selected Applicant for services rendered. This structure will cover salaries, fringe benefits, and operating costs. Payments will be made upon the successful completion of predetermined milestones, up to a specified maximum contract amount based on the payment scheduled, Attachment I. Cost Monitoring and Hold: To ensure efficient and responsible use of funds, the County will conduct regular reviews of the selected Applicant's expenditures. Based on these reviews, the County may temporarily withhold payments as necessary to maintain a balance between supporting the selected Applicant's operations and ensuring public funds are used appropriately. All funds must be clearly accounted for with documentation. appropriately expensed. and timely reported to the County. The selected Applicant may be required to return any unspent funds at the end of the contract, as determined by the final expenditure report. 1.31 [RESERVED]. 15 Section 2 Service Specifications 16 Section 2 Service Specifications 2.1 Introduction A. Overview, purpose or need The COVID-19 pandemic has underscored a critical gap in mental health services, with a surge in demand overwhelming the existing healthcare infrastructure. The County is experiencing a pronounced shortage of accessible mental health care for its residents. To address this urgent public health crisis, the establishment of a community -based mental health center (hereinafter "Center") is imperative. The Center will serve as a cornerstone of a comprehensive mental health delivery system, providing a continuum of care from crisis intervention to long-term recovery support. By integrating primary care services and fostering strong community partnerships, the Center will address the multifaceted determinants of mental health and well-being. The selected Subrecipient will be responsible for securing and executing a lease agreement with a landlord/management company for the operation of the Center, starting approximately January 1, 2025 and ending approximately October 31, 2026. The County has identified a highly suitable site for the Center at the following, second - floor units at 45 Mohouli Street, Hilo, HI 96720 (Attachment G): • Suite 200 (3,385 sq. ft.): Fully renovated and ready for occupancy. o The estimated total monthly lease, including base rent and common area maintenance (CAM), is at $11,700.00/month. • Suite 202 (1,106 sq. ft.): Fully renovated and ready for occupancy. o The estimated total monthly lease, including base rent and CAM, is $3,800/month. Suite 203 (1,354 sq. ft.): Requires cosmetic renovations to be suitable for operation as a crisis stabilization unit. o The estimated total monthly lease, including base rent and CAM, is $4,700/month. If the Subrecipient negotiates a lease for the 45 Mohouli Street location, it is anticipated that he landlord/management company would be responsible for water usage and common area maintenance and repairs, and the Subrecipient would be financially responsible for lease payments for the property, maintenance expenses, internet, monthly electric use and other utilities and expenses associated with initial renovation. The Subrecipient may seek reimbursement for these expenses up to the full contract amount. The County encourages Applicants to consider the 45 Mohouli Street location; however, if the Subrecipient is unable to secure that location, the County will consider an alternate site that meets the County's stated needs of serving houseless and other vulnerable populations requiring accessibility within central Hilo. The alternate location and lease shall first be approved by the County within an expedited timeframe (January 1, 2025) 17 and reimbursement for lease and other rental expenses may not be available if the expedited timeframes are not satisfied. Funds resulting from this RFP may be utilized to cover all or part of the costs.above. Lease payments, including rent, for any alternate location shall not exceed the estimated total monthly lease amounts ($20,200.00/month) aforementioned for Suites 200, 202, and 203, at the 45 Mohouli Street location. The functions and responsibilities of the County and R&D in furtherance of the goals and objectives of this RFP include: 1. Describing the scope and nature of services provided to consumers by the selected Applicant; 2. Ensuring the selected Applicant's adherence to all applicable federal, state, and local laws, rules, regulations, and procedures throughout the contract term; 3. Procuring, negotiating, and contracting with the selected Applicants; 4. Reviewing and ensuring the adequacy of the selected Applicant's staff capacity to deliver the proposed services to consumers; 5. Monitoring and evaluating the performance of the selected Applicant and its subcontractors through the analysis of aggregate or non -identifiable data, financial metrics, on -site assessments, and the utilization of services and reports provided by the selected Applicant; 6. Analyzing. the effectiveness of the Center in meeting its objectives; and 7. Payments to the selected Applicant, including the costs for the monthly lease. B. Description of the Program/service goals The goal of the Center is to enhance access to mental health services, including crisis stabilization, and develop a sustainable operation beyond the grant period. Program Objectives: • Establish and operate a 24/7 crisis stabilization Center that provides immediate, short-term care for individuals experiencing mental health crises. • Implement a "no -wrong -door" policy, ensuring accessible and welcoming services for individuals with varying levels of severity and cooperation. • Integrate primary care services on -site or through referrals to address the physical health needs of clients and improve overall well-being. • Develop a comprehensive care coordination system to ensure seamless transitions between integrated care, crisis stabilization, and community support. • Develop a sustainable system of care through billable services and grants. C. Description of the beneficiaries to be served. The Center is intended to support individuals (adults and juveniles) and their families impacted by mental health challenges, including those in crisis. While services are accessible to all Hawaii Island residents and visitors, priority will be given to members of underserved communities. This includes, but is not limited to, Native Hawaiians, 18 Pacific Islanders, individuals with low socioeconomic status, people experiencing homelessness, and those affected by substance use. D. Eligible Applicants. The County requires a mission -driven nonprofit entity with the demonstrated capacity to successfully implement the scope of work outlined in this RFP. The County recognizes the valuable role that nonprofits play in providing mental health services. Their community -based approach and strong connections to the communities, driven by a strong social mission, allows them to effectively address the unique needs of individuals and families on Hawaii Island. Therefore, eligible applications for this RFP shall be restricted to nonprofit organizations, as defined in Section 1.4. The Applicant must submit,a copy of the Internal Revenue Service (IRS) determination letter granting a 501(c) tax-exempt status. In addition, the Applicant must meet the following requirements and provide documentation demonstrating these requirements if requested by the County: Licensure and Compliance: The Applicant must hold current, valid licenses and certificates as required by federal, state and County regulations. The Applicant shall comply with all applicable Hawaii Administrative Rules and provide copies to the County upon request. Accreditation or Designation: The Applicant must hold accreditation from the Commission on Accreditation of Rehabilitation Facilities (CARF), the Joint Commission (TJC), Council on Accreditation (COA), or any other County - approved accrediting body. Alternatively, the Applicant may qualify in lieu of these accreditations if designated as a Federally Qualified Health Center (FQHC) by the Centers for Medicare and Medicaid Services or under the Health Center Program of the Health Resources and Services Administration. Experience: The Applicant must demonstrate a proven track record in providing services aligned with this RFP, inclusive of: o Minimum three (3) years of experience managing integrated mental health services, including some form of crisis stabilization services. o Minimum three (3) years of experience serving the County's vulnerable populations, including but not limited to Native Hawaiians, Pacific Islanders, individuals experiencing homelessness, and those with low socioeconomic status or substance use disorders. o Minimum three (3) years of experience operating within Hawaii Island, with a specific focus on the East Hawaii region. • Billing and Collections: One of the goals of this RFP is to ensure that the selected Applicant can sustain its operations through revenue generated by medical billing and other sources, after this funding ends. Funding from this RFP is exclusively intended for the Center's staffing and operational expenses and is not intended for direct reimbursement of billable or non -billable services provided to individual consumers. 19 o The Applicant is required to have policies and procedures in place for medical billing to demonstrate their ability to handle financial aspects of service delivery. This includes having a clear fee schedule, system for eligibility determination and billing, and processes for collecting reimbursement from third party payors. State and Federal Privacy Laws: The Applicant must demonstrate compliance with the Health Insurance Portability and Accountability Act (HIPAA) and the State of Hawaii's Health Care Privacy Harmonization Act. This includes having written policies and procedures to protect patient health information (PHI), implementing security measures, restricting access, and providing training to employees. Additionally, the Applicant must have agreements with third -party vendors, an incident response plan, and a clear notice of privacy practices. They must also respect patients' rights under HIPAA. • Plan for Service Utilization Data: To inform decision -making, improve patient care, and report to the County, the Applicants must detail and include a robust data collection plan and in their proposal. This plan should focus on what tool(s) (i.e., Electric Health Record/EHR) may be utilized and how the Applicant proposes to extract and analyze aggregate data and non -identifiable information, such as: o Patient Demographics: Age, gender, race, ethnicity, etc. o Patient Volume: Number of patients seen, new patients, returning patients, etc. o Clinical Services: ■ Number of unique clinical services provided. ■ Average number of unique clinical service provided per patient. o Admission to Crisis Stabilization Unit: Number of patients served. o Narrative of notable patient stories and the provider's experiences during the reporting period. Clinical Service Definitions: Applicants must define and provide a comprehensive list of anticipated clinical services, along with brief descriptions. The specific naming of service types may vary based on the Applicant's EHR or equivalent data collection tool and its specifications. Potential Examples of Service Types: • Behavioral Health: Psychiatric evaluations, individual therapy sessions, group therapy sessions, medication therapy management, crisis intervention services, health education, referral, linkage to care. • Primary Care: Office visits, preventive care, acute care, health education, referral, linkage to care. Note: This list is not exhaustive, and Applicants should include additional service types as needed. 20 E. Geographic coverage of service. The Center will be located in Hilo, Hawaii, to primarily serve the East Hawaii region and all Hawaii Island residents and visitors are eligible for services. F. Allocated funding amount, grant cap, relevant dates for costs incurred and spending, term of grant agreement Funding for the Center is derived from The Coronavirus State and Local Fiscal Recovery Funds program authorized by the American Rescue Plan Act. This federal COVID-19 relief package included direct funding to municipalities through the U.S. Treasury, to respond to the public health emergency and its negative economic impacts, and improve the safety, health and opportunity for all within our communities, with a focus on those most harmed by COVID-19.- The U.S. Treasury delivered $350 billion to state, local, and Tribal governments to support their response to, and recovery from, the COVID-19 pandemic. Additional information can be found at the U.S. Treasury website at https://home.treasury. gov/policy-issues/coronavirus/assistance-for-state-local-and-tribal- govemments/state-and-local-fiscal-recovery-funds. The maximum total award for the program is $3,445,000.00. The Applicant may budget an administrative fee of up to 10% ($345,500.00) for the administration of the program within the maximum total award. The maximum funding amount may change due to the availability of funds. In the event the maximum funding amount changes, the maximum subawards and administrative fee shall be adjusted proportionately. All funds must be obligated (i.e., under contract) by December 31, 2024, and all funds must be spent by the awarded nonprofit no later than December 31, 2026. The awarded Applicant shall execute an agreement, where the agreement term will be from approximately January 1, 2025, through October 31, 2026. 2.2 Contract Monitoring and Evaluation All funds not spent by the awarded Applicant by October 31, 2026 must be returned to the County, unless the County, upon review of the Applicant's circumstances, documents and reasonably determines that the awarded Applicant can expend all remaining funds by December 31, 2026. All eligible Applicants must understand that the County has an obligation to complete financial, performance, and compliance reporting to the U.S. Treasury. All awarded nonprofits and small businesses shall retain all financial records and supporting documents related to the award for a period of five (5) years after all funds have been expended, or returned to the County, whichever is later. This includes those which demonstrate the award funds were used for eligible purposes in accordance with the ARPA, Treasury's regulations implementing those sections, and Treasury's guidance on eligible uses of funds. (Note: Recipients should maintain records to support their assessment of how they were affected by the negative economic impacts of the pandemic and how the aid provided responds to these impacts.) 21 For the first nine months of the contract award, the Applicant shall submit monthly "Project and Expenditure Reports" due fifteen calendar days after the conclusion of each monthly reporting period. Thereafter, the Applicant shall submit quarterly "Project and Expenditure Reports" to the County until the funded project is complete, and by the deadlines set forth herein. Month Year Project and Expenditure Reports Due January 2025 Monthly February 15, 2025 February 2025 Monthly March 15, 2025 March 2025 Monthly Aril 15, 2025 April 2025 Monthly May 15, 2025 May 2025 Monthly June 15, 2025 June 2025 Monthly July 15, 2025 July 2025 Monthly August 15, 2025 August 2025 Monthly September 15, 2025 September 2025 Monthly October 15, 2025 October 2025 N/A N/A November 2025 N/A N/A December 2025 Quarterly January 15, 2026 January 2026 N/A N/A February 2026 N/A N/A March 2026 Quarterly Aril 15, 2026 April 2026 N/A N/A May 2026 N/A N/A June 2026 Quarterly July 15, 2026 July 2026 N/A N/A August 2026 N/A N/A September 2026 Quarterly October 15, 2026 October 2026 Final Report November 15, 2026 A separate final report shall also be submitted to the County covering the entire contract period. This report shall be submitted to the County no later than November 15, 2026. Project and Expenditure Reports Where applicable, the report shall include the following(Note: Reporting template will be based on the latest U.S. Treasury guidelines, see "Compliance and Reporting Guidance" at httDs://home.treasurv.2ov/system/files/136/SLFRF-Compliance-and- Reporting-Guidance.pdf): • Project name • Identification number (Created by the County) 22 • Project expenditure category (Projects should be scoped to align to a single Expenditure Category such as: 2.7 Job Training Assistance (e.g., Sectoral job - training, Subsidized Employment, Employment Supports or Incentives); 2.9 Small Business Economic Assistance (General); 2.10 Aid to Nonprofit Organizations. See Appendix 1 to the U.S. Treasury's Compliance and Reporting Guidance) • Project description (Project descriptions must describe the project in enough detail to provide understanding of the major activities that will occur • Expenditures report (Current period obligation; Cumulative obligation; Current period expenditure; Cumulative expenditure) • Project status (Not started; Completed less than 50%; Completed 50% or more; Completed) • Project demographic distribution (Identify whether the project. is serving an economically disadvantaged community; see "Compliance and Reporting Guidance" for more information at SLFRF-Compliance-and-Reporting- Guidance.pdf (treasury.gov) 23 2.3 General Requirements Scope of Work The scope of work encompasses the following tasks and responsibilities: A. Service Activities The qualified Applicant will establish and operate a community -based mental health center (Center) that provides integrated care with a primary focus on mental health services. The Center will offer comprehensive mental health services, with integrated primary care services available on -site or through referrals to address physical health needs and social determinants of health. This RFP also puts strong emphasis on the Center's capacity to develop and operate a crisis stabilization Center which is operated twenty-four (24) hours a day, seven (7) days a week, to address immediate mental health crises. To facilitate these operations, the Applicant will be responsible for securing a lease, preferably with the landlord/management company for the units (Suite 200, 202 and 203) at 45 Mohouli Street, Hilo, HI 96720 (see Section 2.1 for alternate location lease requirements). According to the SAMHSA's, National Guidelines for Behavioral Health Crisis Care — A Best Practice Toolkit, crisis stabilization facilities provide short-term (under 24 hours) observation and crisis stabilization services to all referrals in a home -like, non - hospital environment. The facility must operate as a "no -wrong -door" resource, accepting all referrals and walk-ins for individuals experiencing mental health, substance use, or co-occurring disorders. If an individual poses an immediate danger to self or others, measures will be taken to address the risk and transfer the individual to the appropriate level of care. While the Applicant will strive to maintain an open -access policy for all individuals experiencing mental health and/or co-occurring disorders, all admissions to crisis stabilization must be voluntary, with a willingness to participate in immediate interventions. The Applicant must demonstrate an understanding of and commitment to implementing best practices in crisis care. This includes, but is not limited to, the following core principles: 1. Addressing recovery needs; 2. Significant role for peers; 3. Trauma -informed care; 4. Zero suicide/suicide safer care; 5. Safety/security for staff and people in crisis; and 6. Crisis response partnerships with Law Enforcement, Dispatch and Emergency Medical Services (EMS) 24 The Applicant is expected to demonstrate a strong commitment to collaboration with other community -based organizations, healthcare providers, and government agencies. Partnerships should focus on improving care coordination, reducing duplication of services, and maximizing the impact of available resources. The Applicant is required to demonstrate the capacity to deliver the following core components: 1. Integrated Care: • Clinical Services: ■ Psychiatric evaluation, assessment, treatment, including medication prescribing, and administration. o Individual, group, and/or family therapy. o Substance abuse treatment and/or referral. o Case management and care coordination, including crisis intervention and recovery planning. o Other applicable mental health and primary care services for all individuals, including minors. • On -site or referral -based primary care services to address physical health needs and identify potential underlying medical conditions. • Collaboration with primary care providers and other specialty health providers for coordinated care. 2. Crisis Stabilization: • Design and renovate the unit to meet the specific needs of a crisis stabilization service, ensuring a safe, comfortable, and therapeutic environment. • 24/7 operation providing a short-term crisis stabilization unit (23 hours and 59 minutes "23/59" observation unit) intended only for adult consumers. • Admission through self -referral, Mental Health Emergency Worker (MHEW) referral, or other source, with transport by Hawaii County Police Department or by other means of transportation. • Discharge planning and linkage to ongoing care. 3. Community Support Services: • Peer support services. 25 • Linkage with medical/psychiatric care, substance use treatment, benefits assistance, and housing referrals. • Community -based interventions to assist individuals in stabilizing from their crisis event, including supportive counseling, nursing services, and linkage to care. • Collaboration with community partners to address social determinants of health, including housing, employment, nutrition, and transportation. • Mental Health Resource Center: o A community hub for information, support, and education. o Offering comprehensive information about mental health conditions, treatment options, and available community resources. o Providing peer support groups and educational workshops. o Facilitating outreach and engagement activities to reduce stigma and promote mental health wellness. 4. Additional Requirements: • Maintain disposition responsibility for all referred cases. • Provide a safe and secure space with a multidisciplinary team for evaluation, observation, and intervention. • Welcome individuals in crisis who do not require immediate emergency department intervention or hospitalization. • Offer a minimum of three meals and snacks daily, complying with Department of Health sanitation and food safety regulations. Meals and snacks may be prepared by an off -site vendor utilizing a certified kitchen. • Provide medication administration to individuals without insurance. • Ensure staff wear identifiable uniforms and implement security measures. • Conduct regular precaution checks by trained mental health professionals. • Reporting to the County under the following timeline: ■ Monthly reporting for the first nine (9) months after contract award. ■ Quarterly reporting thereafter up to September 30, 2026. ■ Upon completion of the award period, a final report documenting the entire contract period, up to October 31, 2026. B. Performance Measures: The Center's impact will be measured through a comprehensive evaluation of key performance indicators (KPIs) which will be included in the Applicant's required reports to the County. Data points and information needed for these KPIs are also detailed in 2.1.1): Eligible Applicants "Plan for Service 26 Utilization Data." The Applicant may also include the following indicators, but not be limited to: • Utilization of health services; o Number of patients seen, new patients, returning patients, etc. o Number of clinical service units provided o Number of people diverted to the Center rather than being transported directly to the ER by Police or by Crisis Mobile Outreach (CMO) teams and increase of this indicator over time; o Improvement in patient outcomes, such as symptom reduction and functional improvement; o Increased access to care for underserved populations; o Integration of primary care and mental health services; • Client satisfaction rates. • Narrative of the outcomes of specific clinical encounters and the provider's experiences during the reporting period. Given the developmental nature of the Center at a new location, the County and Applicant must prepare for potential delays and unforeseen challenges. To accommodate this possibility, the Applicant may designate up to first three (3) to six (6) months as a planning phase, as needed. Following this period, the Applicant is expected to commence and gradually increase service delivery. Utilization Targets for Integrated Care and Crisis Stabilization Unit: As a baseline target, the County requires the Applicants to meet specific utilization targets in terms of monthly admissions (number of patients admitted) for the Center's two critical components: Integrated Care and Crisis Stabilization Unit. While these targets are outlined below, the County reserves the right to adjust them in collaboration with the Applicant as needed. The table below presents the anticipated number of patient admissions from each component. It's important to note that there may be overlap in the patients or consumers served by both components. The Center, over the course of the contract period, is expected to admit 1' individuals through its Integrated Care and 957 individuals at its Crisis Stabilization Unit. Note: o If an individual receives more than one service(s) from the Center's Integrated Care in a single month, the Center should count this as one admission. o If an individual admitted to the Crisis Stabilization Center also receives one or more than appropriate service(s) from the Center's Integrated Care, the Center should count one per each service component. 27 Month Integrated Care # of admissions Crisis Stabilization Unit # of admissions January 2026 - June 2026 0(0%) 0 (0%) July 2025 31 25% 12 15% August 2025 63 50% 20 25% September 2025 113 90% 21 25% October 2025 125 (100%) 40 50% November 2025 125 100% 40 50% December 20205 125(100%) 60 75% January 2026 125 100% 60 75% February 2026 125(100%) 72 90% March 2026 125 100% 72 90% April 2026 125(100%) 80(100%) May 2026 125 100% 80 100% June 2026 125 100% 80 100% July 2026 125 100% 80 100% August 2026 125(100%) 80(100%) September 2026 125 100% 80 100% October 2026 125(100%) 80 100% Total 1832 957 C. Sustainability: The Applicant will develop a sustainable business model that includes a diversified revenue stream to maintain services after the contract period of this grant, efficient resource utilization, and strategic partnerships. The Applicant that is selected through this award will actively identify strategies for long-term sustainability, collaborate with community organizations, and implement cost- effective practices to ensure the long-term viability of the Center. D. Management Requirements a. Personnel The Applicant must ensure that all direct service staff meet the specified personnel qualifications for each service component. Comprehensive and up-to- date personnel files must be maintained for all staff, including documentation verifying compliance with all qualification requirements.. Service -specific personnel recommendations: The Applicant must provide a detailed staffing plan for the Center, with specific focus on the Center's Integrated Care and Crisis Stabilization Unit (23/59 observation unit). The proposal should outline the program's staffing needs in terms of Full -Time Equivalent (FTE) positions, as well as a brief summary of the qualifications, duties and responsibilities for these positions. The following positions may be included but are not limited to: X, 28 Integrated Care: 1. Licensed Psychiatrist 2. Advanced Practice Registered Nurses (APRN) 3. Behavioral Health Provider (i.e., LCSW, LMFT) 4. Case Manager 5. Behavioral Health Technician 6. Patient Advocate (i.e., Peer Specialist) 7. House Keeping 8. Security Personnel 9. Program Manager 10. Clinic Director b. Administrative Crisis Stabilization Unit (23/59 Observation Unit): 1. Licensed Psychiatrist (on call from Center) 2. Advanced Practice Registered Nurses (APRN on call from Center) 3. Behavioral Health Provider (i.e., LCSW, LMFT on call from Center) 4. Case Manager 5. Behavioral Health Technician 6. Patient Advocate (i.e., Peer Specialist) 7. House Keeping 8. Security Personnel The Applicant must demonstrate strong administrative capabilities to effectively manage program operations. This includes: • Applicant Responsibilities: The Applicant must possess the administrative capacity to effectively manage program operations, including financial planning, human resources, and logistics. • Client Access and Referral: Center services may be initiated through a Mental Health Emergency Worker (MHEW) or other referral source and consumers may be transported by the Hawaii Police Department (HPD) or other means. • Client Responsibilities: Consumers will not incur any fees, including finance charges, co -payments, or missed appointment fees, for services covered under the contract awarded through this RFP process. Consumers have the right to continued service regardless of payment status or unauthorized service use. • Single Point of Accountability: A single point of accountability, preferably a designated case manager, will be responsible for ensuring continuity of communication, care, and follow-up for each consumer receiving Center services. • Public Acknowledgement: The Applicant shall acknowledge County of Hawaii funding on all printed materials, brochures, and public presentations. 29 8. Quality assurance and evaluation specifications The Applicant shall provide ongoing data and reporting support to the County throughout the contract period. This support includes generating monthly or quarterly reports in both paper and electronic formats to fulfill the County's information needs. Due to the dynamic nature of reporting requirements, specific data requests cannot be fully outlined in advance. The County may require ad hoc reports for various stakeholders, including government agencies, accreditors, and advocacy groups. In addition to specific KPIs included .in the Performance Measures, regular data requests will focus on key areas such as: • Consumer demographics and needs • Service utilization • Staffing and capacity • Risk management • Consumer outcomes • Regulatory compliance • Operational efficiency • Financial performance The County and Applicant will collaborate to streamline reporting processes and establish efficient data exchange mechanisms. 9. Experience The Applicant must meet all minimum qualifications outlined in this RFP (Section 2, 2.1, D: Eligible Applicants). In the evaluation of submitted proposals, preference will be given to Applicant(s) with a proven track record of successfully providing services outlined in the scope of work and serving the beneficiaries (Section 2.1, C: Description of the beneficiaries to be served). 10. Coordination of Services The Applicant must demonstrate effective coordination of services with other involved agencies and partners, including case managers, government personnel, contracted service providers, primary care physicians, justice system entities, Med-QUEST, and community organizations. The Applicant must have the capacity to directly provide or contract for necessary psychiatric and non -psychiatric medications. 11. Consumer Management 30 a. Consumer -Centered Planning: The Applicant must document robust consumer involvement in all phases of recovery planning, including service -related decisions. b. Least Restrictive Environment: Consistent with Hawaii Revised Statutes Section 334-104 and applicable federal guidelines, consumers must receive services in the least restrictive setting as determined by their individual care needs. c. Community Resource Referral: The Applicant will ensure consumers have access to and information about community resources relevant to their care and treatment needs. d. Culturally Competent Care: Services will be delivered in a manner that respects and incorporates consumers' cultural beliefs, practices, and preferred language, to the extent practicable. e. Language Access: The Applicant must comply with federal and state language access laws, including Title VI of the Civil Rights Act of 1964, Section 1557 of the Affordable Care Act, and Chapter 321C, Hawaii Revised Statutes. This includes providing oral and written language services to individuals with limited English proficiency (LEP) to ensure meaningful access to care. f. Consumer Rights and Self -Determination: In alignment with Chapter 1I- 175, Hawaii Administrative Rules, and applicable federal guidelines, the PROVIDER will uphold consumer rights, including the right to participate in treatment decisions. g. Quality Improvement: The Applicant will submit written reports on sentinel events, incidents, grievances, and appeals to the County, outlining corrective actions taken. h. Non -Discrimination: The Applicant must comply with federal and state anti -discrimination laws, including Title VI of the Civil Rights Act of 1964, the Age Discrimination Act of 1975,.the Rehabilitation Act of 1973, and the Americans with Disabilities Act (ADA). i. Confidentiality and.Privacy: The Applicant must comply with Health Insurance Portability and Accountability Act (HIPAA) and Hawai`i's Health Care Privacy Harmonization Act. All protected health information (PHI) must be safeguarded, and any unauthorized use or disclosure must be reported to the County immediately. j. Consumer Consent: Written consent must be obtained from consumers for evaluation, treatment, information release, claims submission, data entry into the Applicant's system, and other necessary purposes. Exceptions to consent requirements apply for County oversight activities and specific 31 government programs like Medicaid Rehabilitation Option (MRO) by the State of Hawaii. k. Subcontractors: Prior written approval from R&D is required for subcontractor utilization. The Applicant remains ultimately responsible for subcontractor performance and compliance with RFP requirements, including insurance coverage. 1. Services to Minors: When serving minors, the Applicant must prioritize their unique needs, family involvement, school collaboration, transition planning, and cultural sensitivity. Address their developmental needs, academic challenges, and family dynamics. Collaborate with schools, provide life skills training, and ensure a smooth transition to adult services. Maintain cultural competence and incorporate cultural considerations into care. E. Facility The following facility standards will be maintained in partnership with the building owner: • Structural Integrity and Safety: The facility must be structurally sound, protecting residents from the elements and posing no threat to their health or safety. • Accessibility and Security: The facility must be accessible without trespassing on private property and equipped with multiple exits for emergency situations. • Resident Space and Privacy: Residents must have sufficient personal space and secure storage for their belongings. Within the large, open observation unit, space arrangements should prioritize age -appropriate separation (adults and adolescents/juveniles) while also considering gender. • Ventilation: All rooms must have adequate ventilation, either through natural ventilation or mechanical means like air conditioning. • Health and Safety: The facility must be free of pollutants and maintain designated smoking areas in compliance with state regulations. • Bathroom Facilities: Clean, sanitary, and well -maintained bathrooms must be accessible to all residents, allowing for privacy and personal hygiene. • Lighting: The facility must provide adequate lighting through natural or artificial means. • Smoke Detection: At least one operational smoke detector must be installed on each floor, including bedrooms and adjacent hallways. For hearing -impaired residents, specialized smoke detectors are required. • Regulatory Compliance: The Applicant must adhere to all state, city, and County health, fire, and safety regulations for licensed residential settings. Staff must maintain vigilant oversight to ensure ongoing compliance. 32 Damages Responsibility: The Applicant will be responsible for any damages caused by their staff or consumers. Repairs must be arranged in partnership with the building owner. 33 Section 3 Proposal Application Instructions 34 Section 3 Proposal Application Instructions General instructions for completing applications: 1. Proposal Applications shall be submitted on Public Purchase using the prescribed format outlined in this section. 2. The numerical outline for the application, the titles/subtitles, and the Applicant organization and RFP identification information should be retained. 3. Page numbering of the Proposal Application should be consecutive, beginning with page one and continuing through for each section. See sample table of contents in Section 5. 4. Excluding any applicable attachments, proposals shall be no longer than either thirty five (35) pages of single-spaced, letter -sized paper, using a font no smaller than 11 points, except for data tables, which can use a smaller font. 5. A written response is required for each item. Failure to answer any of the items will impact upon an Applicant's score. 6. Applicants are strongly encouraged to review evaluation criteria in Section 4. Proposal Evaluation when completing the proposal. The Proposal Application is comprised of the following sections: • Proposal Application Form (see Section 5, Attachments) • Table of Contents (see Section 5, Attachments, for sample table of contents) • Entity Description (see Subsection 3.1) • Community Benefit (see Subsection 3.2) • Project Description (see Subsection 3.3) • Staffing and Personnel (see Subsection 3.4) • Financial and Sustainability (see Subsection 3.5) • Evaluation and Performance Measurement (see Subsection 3.6) 35 3.1 Entity Description (maximum of 1 page plus 1 page principal's statement of qualifications or resume, for a maximum total of 2 pages): a. Provide a brief description of your entity including mission, goals, and history in the County of Hawaii. b. Provide the name(s) of the principal(s) responsible for the entities' organizational operations. Be sure to include their qualifications. c. Describe your entry as an employer and its local economic contribution to the County of Hawaii. Include number of positions, employees or jobs created. d. Describe the community served by your entity. e. Submit a Certificate of Good Standing from the State of Hawaii DCCA, which must be dated within thirty (30) days of proposal submittal. (Note: This document is not counted toward the 2-page maximum limitation). f. Submit a copy of the Internal Revenue Service (IRS) determination letter granting a 501(c) tax-exempt status. ote: This document is not counted toward the 2- page maximum limitation). 3.2 Community Benefit (maximum 2 page limit): a. Describe your organization's history of creating community benefits (e.g. people served, jobs created, tax revenue generated, or other measurable indicators, etc.). b. Describe how this project will provide ongoing community benefits with impactful, measurable outcomes. c. Include a table listing direct and indirect beneficiaries noting quantity, general demographics, and other benefits. 3.3 Project Description: Program Design and Implementation (maximum 10 page limit): a. Experience: Describe your entity's qualifications to provide the scope of services outlined in this RFP to underserved communities. Include the number of years your organization has delivered these services, along with detailed descriptions and performance outcomes of recent relevant projects or contracts. b. Alignment with Scope of Work: Your proposal should clearly demonstrate how your program will meet the specific goals and objectives outlined in this RFP. c. Service Deliver: Provide a clear and detailed description of how you plan to deliver services. This includes identifying your target population, outlining and defining the specific service types you will offer (2.I.D: Eligible Applicant "Plan for Service Utilization Data), and describing how your staff will be organized to provide these services. The Service Delivery Plan must include: o Plan for Service Utilization Data (2.1.D: Eligible Applicant "Plan for Service Utilization Data); o How the proposed services will increase resilience, support recovery, and/or provide relief to consumers; o How you will coordinate and integrate primary care and mental health services; o A comprehensive overview of your planned crisis stabilization unit. This includes details about staffing levels, the types of services offered, and how you will collaborate with emergency services to ensure a seamless transition of care; o How your organization demonstrates effective coordination of services with other involved agencies and partners, including case managers, 36 government personnel, contracted service providers, primary care physicians, justice system entities, MedQUEST, and community organizations; and o How proposed services will connect and support individuals with the resources they need to succeed. This includes detailing your approach to peer support, case management, and partnerships with other community organizations. 3.4 Staffing and Personnel (maximum 8 page limit): a. Staff Qualifications: Clearly outline the qualifications required for key personnel positions. Demonstrate how your proposed staff meets or exceeds these qualifications. b. Staffing Plan: Develop a comprehensive staffing plan outlining the quantity and qualifications of personnel required to effectively deliver proposed services. Specify anticipated hiring.timelines. Justify staffing levels based on projected workload and patient volume. c. Staff Development: Describe your organization's commitment to ongoing staff training and development. Outline the type of training and professional development opportunities that will be provided to staff. d. Staff Contingency Plan: Identify key personnel within your organization and describe your strategies for ensuring continuity of service in the event of staff turnover. 3.5 Financial and Sustainability (maximum 8 pages for items a-f below; plus attachments for items g-h): a. Total Funding Request: Clearly state the total amount of funding requested for this grant. b. Budget Narrative: Provide a concise summary of your budget, highlighting major expense categories and sources of revenue, including any matching funds. Detail the sources and amounts of matching funds if applicable. c. Revenue Generation: Describe your organization's strategies for generating revenue to support the program. d. Financial Management: Describe your organization's experience in managing financial resources. Outline your financial management systems and internal control procedures. e. Sustainability Plan: Identify components of a sustainability plan outlining how your program will be sustained in the long term, after this contract. Identify potential funding sources and strategies for ensuring the program's continued operation. f. COVID-19 Aid: Disclose any funds received from County or Federal COVID-19 aid packages, such as the Paycheck Protection Program. g. Project Timeline: Develop a detailed and realistic project timeline outlining all project phases, including planning, development, implementation, and evaluation. Clearly identify key milestones within each phase. All funds must be expended with project completion by October 31, 2026. h. Complete Attachment D: Line Item Budget and provide an itemized funding request. Submit a comprehensive and realistic budget outlining the projected costs 37 and revenue streams for your proposed program. This must be aligned with your budget narrative (b). (Note: Applicants may use their own form or spreadsheet so long as it includes the same information contained in Attachment D). Attach the following financial documents (be sure to redact any confidential information in your redacted copy of your submitted proposal): • For Nonprofits: Tax Returns, Profit & Loss Statements, Balance Sheets, and 990s (2 most recent years); plus current and prior year approved budgets, and most recent audit(s). 3.6 Evaluation and Performance Measurement (maximum of 5 pages): a. Performance Measures: Clearly articulate the specific performance measures that will be used to evaluate the program's success. Ensure these measures directly align with the RFP's goals and objectives. b. Data Collection and Reporting: Describe the data collection methods and reporting systems that will be implemented to track program performance. Outline the frequency and format of data reporting. c. Qualily Improvement: Detail your organization's approach to continuous quality improvement. Explain how data will be used to identify areas for improvement and implement necessary changes. 38 Section 4 Proposal Evaluation 39 Section 4 Proposal Evaluation 4.1 Introduction The evaluation of proposals received in response to the RFP will be conducted comprehensively, fairly, and impartially. Structural and quantitative scoring techniques will be used to maximize the objectivity of the evaluation. 4.2 Evaluation Process An evaluation panel comprised of at least three governmental employees with sufficient qualifications in the area of the Program will review and score applications to select the grant awardees in accordance with the evaluation criteria and categories set forth in sections 3 and 4 of this RFP, and in accordance with Federal guidance regarding eligible uses of ARPA funds. Note that private consultants may also serve on the evaluation committee and shall have sufficient knowledge to serve on the committee, serve without compensation, and sign an affidavit (a) attesting to having no personal, business, or any other relationship that will influence their decision in the evaluation process; (b) agreeing not to disclose any information on the evaluation process to other than an employee of the governmental body; and (c) agreeing that their names will become public information upon award of the grants. The evaluation will be conducted in three phases as follows (see Section 4.3): • Phase 1 - Evaluation of Proposal Requirements • Phase 2 - Evaluation of Proposal Application • Phase 3 - Recommendation for Award The County reserves the right to reject any or all applications for cause, or to waive minor irregularities in said applications, or to award amounts different from that requested. In the case of differences between written words and figures in an application, the amount stated in written words shall govern. The County will post a notice of award on Public Purchase listing those nonprofits and small businesses that were awarded a grant under this RFP. 4.3 Evaluation Criteria r Evaluation of Applications. Upon review of the application, the Evaluation Panel will evaluate the applications based on the criteria and rating points to determine the most highly qualified entities(s) to receive grants under this RFP. 40 A. Phase 1— Evaluation of Proposal Requirements. The Purchasing Agent will do, an initial review to first determine whether the submitted proposals meet the submittal requirements and contain the following: • All application materials are timely submitted and do not exceed maximum page limitations; • Completed Proposal Application Checklist; • Signed &. Completed Proposal Application Form; • Proposal. includes page numbers and all sections required 1. Table of Contents 2. Entity Description & Certificate of Good Standing 3. Community Benefit 4. Project Description 5. Staffing and Personnel 6. Financial and Sustainability (including financial documents submitted by Applicant) 7. Evaluation and Performance Measurement; One Unredacted Electronic Copy of Proposal (PDF Format); One Redacted Electronic Copy of Proposal (PDF Format); and All Applicable Federal Certifications are Signed & Completed B. Phase 2 — Evaluation of Proposal Application. The Evaluation Panel will commence evaluations of the submitted proposals upon receipt from the Purchasing Agent. The Evaluation Panel shall score each submitted application/proposal in accordance with the evaluation criteria. C. Recommendation for Award. After the Evaluation Panel completes its evaluation, all recommendations for award will be submitted to the Director of the County Department of Research and Development for approval and final award decision. The awarded Subrecipient under this RFP will be posted on the Public Purchase website. 41 Evaluation Criteria — Evaluation of Proposal Application Maximum Points Possible Entity Description (see Section 3.1) 5 Community Benefit see Section 3.2 20, Project Description see Section 3.3 40 Staffing and Personnel see Section 3.4 30 Financial and Sustainabili see Section 3.5 30 Evaluation and Performance Measurement see Section 3.6 25 Total Possible Points: 150 Section 5 Attachments 5.1 Attachment A: Proposal Application Checklist 5.2 Attachment B: Proposal Application Form 5.3 Attachment C: Sample Table of Contents 5.4 Attachment D: Line Item Budget 5.5 Attachment E: County's General Terms and Conditions, dated 5/10/2023 5.6 Attachment F: Federal Terms and Conditions, including App. I 5.7 Attachment G: Building Plan (2" d floor) for 45 Mohouli Street, Hilo Hawaii 5.8 Attachment H: Sample Expenditure Report with Certification 5.9 Attachment I: Payment Schedule Applicant: Organization: ATTACHMENT A 5.1 PROPOSAL APPLICATION CHECKLIST RFP No.: RFP No: 4575 The Applicant's proposal must contain the following components in the order shown below. Return this checklist to the purchasine aeencv as part of the Proposal Application. Required by Applicant to Item Reference in RFP Format/Instructions Provided Purchasing Agency place "X" for items included in Proposal General: Proposal Application Checklist Section 1, RFP Attachment A X Proposal Application Form Section 1, RFP Attaclunent B X Proposal • Table of Contents • Entity Description & COGS • Community Benefit • Project Description • Staffing and Personnel • Financial and Sustainability • Evaluation and Performance Measurement Section 3, RFP Section 3, RFP X One Unredacted Electronic Copy of Proposal PDF format Section 1, RFP Section 1, RFP X One Redacted Electronic Copy of Proposal PDF format Section 1, RFP Section 1, RFP X Certifications: Federal Certi creations Section 5, RFP Attachment F, App. I X Program Specific Requirements: N/A Organization: RFP No: 4575 ATTACHMENT B 5.2 PROPOSAL APPLICATION FORM Project Title: Organization Name: Contact Name: Telephone: Email Address: Project Category: Community -Based Mental Health Center Funding Summary. Amount SURF Funds Requested. $ Funds From Other Sources (if available). $ In -kind Contribution Value (if available). $ Total Project Cost. $ ACKNOWLEDGEMENT I, the undersigned, hereby certify that the information provided in this County of Hawaii Request for Proposals has been reviewed in its entirety and the affixed signature accepts responsibility on behalf of said organization to inform its members of the content herein. All terms and conditions of this County of Hawaii Request for Proposals shall be a part of any contract entered into as a result of this proposal. Signature: Name (please type or print clearly): Title: Date Signed: Organization: RFP No: 4575 ATTACHMENT C 5.3 SAMPLE TABLE OF CONTENTS Proposal Application Table of Contents 3.1.Entity Description............................................................................... a. Brief Description b. Principal's Statement of Qualifications c. Economic Contribution d. Community Served e. Certificate of Good Standing £ IRS Determination Letter for a 501(c) Tax -Exempt Status 3.2.Community Benefit................................................................................... a. History of Creating Community Benefits b. Community Benefits with Impactful, Measurable Outcomes c. Direct and Indirect Beneficiaries 3.3.Project Description................................................................................................................ 5 a. Experience b. Alignment with Scope of Work c. Service Delivery Plan 3.4.Staffing and Personnel......................................................................................................... 13 d. Staff Qualifications e. Staffing Plan f. Staff Development g. Staff Contingency Plan 3.5.Financial and Sustainability................................................................................................ 21 a. Total Funding Request b. Budget Narrative c. Revenue Generation d. Financial Management e. Sustainability Plan £ COVID-18 Aid g. Project Timeline h. Complete Attachment D 3.6.Evaluation and Performance Measurement...................................................................... 21 a. Performance Measures b. Data Collection and Reporting c. Quality Improvement Attachments................................................................................................................................ 29 (List attachments, including signed certification found in Appendix I to Attachment I) Organization: RFP No: 4575 ATTACHMENT G 5.7 BUILDING PLAN (2ND FLOOR) for 45 MOHOULI STREET, HILO, HAWAII 163 USF r Organization: RFP No: 4575 ATTACHMENT G 5.7 BUILDING PLAN (2ND FLOOR) for 45 MOHOULI STREET, HILO, HAWAII 1 j L AA X 5 �aJ HA ULk4~ ;4ALLDAT 11 A n Organization: RFP No: 4575 ATTACHMENT H SAMPLE EXPENDITURE REPORT WITH CERTIFICATION BUDGET CATEGORIES MM/YYYY A PERSONNEL COST 1 Salaries (attach detail) $ 2 Payroll Taxes & Assessment $ 3 Fringe Benefits $ A TOTAL PERSONNEL COST $ B OTHER EXPENSES 1 Airfare, Inter -Island $ 2 Airfare, Out -of -State $ 3 Audit Services $ 4 Contractual Services - Administrative $ 5 Contractual Services - Subcontracts $ 6 Insurance $ 7 Lease/Rental of Equipment $ 8 Lease/Rental of Motor Vehicle $ 9 Lease/Rental of Space $ 10 Mileage $ 11 Postage, Freight & Delivery $ 12 Publication & Printing $ 13 Repair & Maintenance $ 14 Staff Training $ 15 Subsistence/Per Diem $ 16 Supplies $ - 17 Telecommunication $ 18 Transportation $ - 19 Utilities $ 20 $ 21 $ 22 $ 23 $ 24 $ 25 $ B TOTAL OTHER EXPENSES $ C TOTAL EQUIPMENT PURCHASE $ - D TOTAL MOTOR VEHICLE PURCHASE $ E TOTAL ADMINISTRATIVE COSTS $ - TOTAL'(A+B+C+D+E) $ CERTIFICATE OF COST ACCURACY AND COMPLIANCE The undersigned hereby certifies that all reported expenses are accurate and verifiable with documentation. Additionally, we have ensured that there are no duplicate charges for personnel providing reimbursable services from any other funding sources. The direct and administrative costs included in this expenditure report accurately reflect my organization's actual expenses and are in compliance with all applicable federal regulations. These administrative costs do not exceed the allowable percentage (1016) of the awarded funds. Administrative costs are limited to usual overhead, program management, and support activities, excluding direct charges for program/direct service personnel. Our organization maintains adequate documentation to support the allocation of costs. I understand that this certification is a material representation and that any false or misleading statement may result in contract termination and/or return of improperly used or duplicated funds. Signed Name and title: Date Organization: ATTACHMENT PAYMENT SCHEDULE RFP No: 4575 Deliverable Deliverable Year Deliverable Required Documentation Target Completion Target Invoice R&D Approval u /o payment Number Name Description Date Date Required Amount An advance I Contract 2025 payment Is made Executed contract 12/15/24 1/1/25 Yes 15.0 $ Execution immediately upon 0% 516,750.00 contract execution. Project report must include: • Progress made • Issues/corrective actions 2 January 2025 Monthly Project and • Performance based on the 2/10/25 2/15/25 Yes 5.00 $ Expenditure Report Plan for Service Utilization % 172,250.00 Data • Expenditures for the reportinq period Project report must include: • Progress made • Issues/corrective actions 3 February 2025 Monthly Project and • Performance based on the 3/10/25 3/15/25 Yes 5.00 $ Expenditure Report Plan for Service Utilization % 172,250.00 Data • Expenditures for the reporting eriod Project report must include: • Progress made • Issues/corrective actions 4 March 2025 Monthly Project and • Performance based on the 4/10/25 4/15125 Yes 5.00 $ Expenditure Report Plan for Service Utilization % 172,250.00 Data • Expenditures for the reporting eriod Project report must include: • Progress made • Issues/corrective actions 5 April 2025 Monthly Project and • Performance based on the 5/10/25 5/15/25 Yes 5.00 $ Expenditure Report Plan for Service Utilization % 172,250.00 Data . • Expenditures for the reDortino Deriod Project report must include: • Progress made • Issues/corrective actions 6 May 2025 Monthly Project and • Performance based on the 6/10/25 6/15/25 Yes 5.00 $ Expenditure Report Plan for Service Utilization % 172,250.00 Data • Expenditures for the reporting eriod Project report must include: - Progress made• Monthly Project and Issues/corrective actions- 5.00 $ 7 June 2025 Expenditure Report Performance based on the 7/10/25 7/15/25 Yes % 172,250.00 Plan for Service Utilization Data- Expenditures for the reporting eriod Project report must include: • Progress made • Issues/corrective actions 8 July 2025 Monthly Project and • Performance based on the 8/10/25 8/15/25 Yes 5.00 $ Expenditure Report Plan for Service Utilization % 172,250.00 Data • Expenditures for the reporting period Project report must include: • Progress made • Issues/corrective actions 9 August 2025 Monthly Project and • Performance based on the 9/10/25 9/15/25 Yes 5.00 $ Expenditure Report Plan for Service Utilization % 172,250.00 Data • Expenditures for the reporting eriod Project report must include: • Progress made 10 September 2025 Monthly Project and • Issues/corrective actions 10/10/25 10/15/25 Yes 5.00 $ Expenditure Report • Performance based on the % 172,250.00 Plan for Service Utilization Data Organization: RFP No: 4575 Deliverable Deliverable Year Deliverable Required Documentation Target Completion Targ Target Invoice R&D Approval u 7o Payment Number Name Description Date Date Required Amount • Expenditures for the reporting eriod Quarterly Project report must Include: • Progress made Quarterly Project • Issues/corrective actions 11 December 2025 and Expenditure • Performance based on the 1/10/26 1115/26 Yes 8.00 $ Report for Oct, Nov Plan for Service Utilization % 275,600.00 and Dec 2025 Data • Sustainability Plan • Expenditures for the reporting eriod Quarterly Project report must include:- Progress made - Quarterly Project Issues/corrective actions• 12 March 2026 and Expenditure Performance based on the 4/10/26 4/15/26 Yes 8.00 $ Report for Jan, Feb Plan for Service Utilization % 275,600.00 and Mar 2026 Data- Sustainability Plan - Expenditures for the reporting riod Quarterly Project report must Include: • Progress made Quarterly Project • Issues/corrective actions 13 June 2026 and Expenditure • Performance based on the 7/10/26 7/15126 Yes 8.00 $ Report for Apr, May Plan for Service Utilization % 275,600.00 and Jun 2026 Data • Sustainability Plan • Expenditures for the reporting eriod Quarterly Project report must include: • Progress made Quarterly Project • Issues/corrective actions 14 September 2026 and Expenditure • Performance based on the 10/10/26 10/15/26 Yes 8.00 $ Report for Jul, Aug Plan for Service Utilization % 275,600.00 and Sep 2026 Data • Sustainability Plan • Expenditures for the reporting riod Final Project report must Include: Final Project and ' Progress made Expenditure Report ' Issues/corrective actions 15 Final 2026 for the entire • Performance based on the 11/10/26 11/15/26 Yes 8.00 $ contract period. Plan for Service Utilization % 275,600.00 Including Oct 2026 Data • Sustainability Plan • Expenditures for the reporting eriod Total (Max) Reimbursable Amount: $3,445,000.00 County of Hawaii Department of Research and Development i. , Community -Based Mental Health Center HAWAI`I ISLAND COMMUNITY HEALTH CENTER 75-5751 KUAKINi Hwy., STE 203 KAILUA KONA, HI 96740 County of Hawaii Department of Research and Development RFP NO.4575 Community -Based Mental Health Center Hawai'i Island Community Health Center Application Table of Contents 1) Entity Description 2 a) Brief Description 2 b) Principals' Statement of Qualifications 3 c) Economic Contribution 4 d) Community Served 4 e-) Certificate of Good Standing 5 f) IRS Determination Letter for a 501(c) 3 Tax -Exempt Status 5 2), Community Benefit 6 a) History of Creating Community Benefits 6 b) Community Benefits with Impactful, Measurable Outcomes 6 c) Direct and Indirect Beneficiaries 7 3) Project Description 10 a) Experience 10 b) Alignment with Scope of Work 10 c) Service Delivery Plan 11 4) Staffing and Personnel 18 a) Staff Qualification 18 b) Staffing Plan 21 c) Staffing Development 22 d) Staffing Contingency Plan 23 5) Financial and Sustainability 24 a) Total Finding Request 24 b) Budget Narrative 24 c) Revenue Generation 25 d) Financial Management 25 e) Sustainability Plan 26 f) COVID-19 Aid 27 g) Project Timeline 28 h,) Compete Attachment D "Line -Item Budget" 29 6) Evaluation and Performance Measurements 30 a) Performance Measures 30 b) Data Collection and Reporting 31 c) Quality Improvement 32 ATTACHMENTS: Attachment A: Proposal Application Checklist Attachment B: Proposal Application Form Attachment'C: Budget Attachment D: Certificate of Good Standing Attachment E: IRS Determination Letter Attachment F: RFP #4575 Addendum #1 County of Hawai'i Department of Research and Development RFP NO.4575 Community -Based Mental Health Center Hawai'i Island Community Health Center Application 1) Entity Description a) Brief Description Hawaii Island Community Health Center (HICHC) promotes lifelong health and wellness through quality healthcare that is comprehensive, integrated, culturally responsive, and accessible to all. HICHC serves underserved communities across 20 zip codes on Hawaii Island (96738, 96740, 96725, 96750, 96726, 96704, 96737, 96772, 96777, 96785, 96778, 96771, 96760, 96749, 96720, 96781, 96783, 96710, 96728, and 96773), from Hilo in the east to Kona in the west and including the southern regions of Hawaii County. Our 14 health center locations provide essential services where access to medical care is often limited. HICHC will serve all people who walk through our doors at the Hilo Community -Based Mental Health Center regardless of which zip code the live. As a Federally Qualified Health Center (FQHC), HICHC offers a wide array of services to meet the diverse needs of our community. These include comprehensive primary medical care, dental services, and behavioral health care, addressing everything from chronic disease management to preventive services like immunizations, family planning, and prenatal care. Our behavioral health offerings include counseling, substance use disorder treatment, and mental health support to improve emotional well-being. Dental services range from preventive care to treatment of oral health issues. HICHC also operates six School -Based Health Centers, providing convenient access to healthcare for students, ensuring that young people receive medical attention without missing school. Our Reproductive Health Services offer family planning, contraceptive counseling, and sexual health education. Through our Perinatal Support Program, we assist expecting and new mothers with prenatal and postnatal care to promote healthy pregnancies and childbirth outcomes. We go beyond clinical care by offering insurance enrollment services, helping patients navigate Medicaid and other insurance options. We also support families through the Women, Infants, and Children (WIC) nutrition program, which provides food and education to low-income families. Our Care Coordination Program works with individuals who require assistance in managing complex health needs, ensuring they receive consistent, personalized care. Through our Street Medicine Outreach Program, we bring medical care directly to homeless individuals, providing on -the -ground health services to those who may not otherwise seek care. To ensure that language is never a barrier, we offer language translation services in multiple languages, promoting culturally competent care for our diverse patient population. In addition, HICHC has a Referrals Department to connect patients with specialized care when needed, and an in-house pharmacy program, allowing patients to conveniently access medications at affordable prices. County of Hawaii Department of Research and Development RFP NO.4575 Community -Based Mental Health Center Hawai'i Island Community Health Center Application H ICHC's commitment to care is inclusive and comprehensive ensuring no one is turned away based on their ability to pay. We do not discriminate on the basis of race, color, national origin, religion, sex, age, sexual orientation, or ability. Through our mission, we work to uplift the communities of Hawaii Island, providing a holistic approach to health that extends beyond traditional healthcare models. HICHC has a long history of financial, organizational, and quality clinical care and program excellence. In 2022 HICHC received four federal HRSA quality recognition awards, including the National Quality Leader in Behavioral Health Award, which ranks our Behavioral Health Department in the top 1- 2% of all Federally Qualified Health Centers, exceeding national benchmarks for clinical quality measures. HICHC also received the Quality Health Leader Award -Bronze level, ranking HICHC in the top 21-30% of all FQHCs nationally for achieving the best overall clinical quality measure (CQM) performance among all health centers. in addition, HICHC received the Advancing Health Information Technology for Quality Award for optimizing health information technology services, advancing telehealth, and improving patient engagement, interoperability, and the collection of social determinants of health to increase access to care and advancing quality care. HICHC has Patient Centered Medical Home (PCHM) recognition for all sites currently included under our HRSA 33oe grant. b) Principals' Statement of Qualifications HICHC is managed by a team of highly qualified and experienced professionals who are committed to the long-term sustainability and success of the organization. Leading the team is Richard Taaffe, Chief Executive Officer, whose visionary leadership has been instrumental in shaping HICHC's growth and community impact. Dr. Victoria Hanes, Chief Operating Officer, ensures that daily operations run smoothly and efficiently, while Diane Pautz, Chief Financial Officer, oversees the financial health and strategic planning for the organization. Our clinical services are guided by a team of experts, including Dr. Katherine May, Director of Behavioral Health, who brings a wealth of experience in mental health and substance use treatment; Chris Piel, Medical Director, who leads our primary care services with a focus on patient -centered care. Several people on this senior leadership team have been with HICHC for over a decade, demonstrating their unwavering commitment to the organization and its mission. Their collective expertise and deep-rooted dedication to the community have played a vital role in ensuring the long- term sustainability and continued growth of HICHC. Bio-sketches for each member of our senior leadership team are provided below: Richard Taaffe, CEO: Richard Taaffe is the CEO of HICHC. He arrived in Hawaii in zoos to lead the West Hawaii Community Health Center (WHCHC), which at the time had just six staff members, three exam rooms, and served goo patients. Under his leadership, WHCHC merged with Bay Clinic on July 1, 2022, forming the Hawaii Island Community Health Center (HICHC). Today, HICHC employs 450 staff members and serves nearly 37,000 patients across 14 clinical sites located in North and South Hilo, Puna, Ka`u, South and North Kona, and South Kohala. County of Hawai'i Department of Research and Development RFP NO.4575 Community -Based Mental Health Center Hawai'i Island Community Health Center Application Dr. Victoria Hanes, COO: Dr. Victoria Hanes holds both an M.A. and Psy.D. in Clinical Psychology from Argosy University Hawaii. She completed her internship and post -doctoral fellowship with I Ola Lahui, a rural behavioral health training program, serving diverse communities across the Hawaii an Islands, including Lanai, Molokai, and rural areas of East and West Oahu. In 2o16, Dr. Hanes earned a Master of Science in Psychopharmacology from the University of Hawaii Hilo and continues to advocate for clinical psychologists' prescriptive authority in Hawaii and beyond. Diane Pautz, CFO: Diane Pautz serves as the Chief Financial Officer for H ICHC, bringing over 30 years of experience as a Finance Director for multi -service health and social service organizations. She has spent 18 years with HICHC and an additional to years in Alaska, where she gained extensive experience working with multi -cultural and Native Alaskan populations. Dr. Kathrine May, Director of Behavior Health: Dr. Katherine Knezek May, Psy.D., CSAC, TTS, is the Director of Behavioral Health at HICHC. A licensed Clinical Psychologist, Certified Substance Abuse Counselor, and Tobacco Treatment Specialist, Dr. Knezek May has been with HICHC for nine years, serving in her current leadership role for four years. Chris Piel, Medical Director: Chris Piel has served as the Medical Director at HICHC since 2021. In his first year, he successfully navigated the challenges of a H RSA site visit and the Delta wave of the COVID-19 pandemic. He also played a critical role in overseeing the merger that transformed HICHC into the largest rural Federally Qualified Health Center (FQHC) in Hawai`'i and led the transition to the Epic electronic health record system, consolidating two legacy EHR systems. c) Economic Contribution HICHC plays a significant role in the economic health and vitality of Hawaii County. With an annual operating budget of $54,00o,000, HICHC not only delivers essential healthcare services but also drives substantial economic activity across the region. As one of the largest employers on Hawaii Island, HICHC provides stable, full-time employment to 465 individuals, supporting local families and contributing to the broader economic ecosystem. Through competitive wages, benefits, and local procurement, HICHC bolsters the economy while improving the health and well-being of the community. By sustaining a large workforce and continually investing in healthcare infrastructure, HICHC strengthens both the healthcare sector and the financial stability of Hawaii County. d) Community Served As a Federally Qualified Health Center (FQHC), HICHC serves as a vital safety net for the most vulnerable populations across Hawaii County. Our service area includes communities that often face significant barriers to healthcare, such as rural isolation, economic hardship, and limited access to medical providers. Many of the individuals and families we serve are uninsured, underinsured, or living at or below the federal poverty line. 4 County of Hawai'i Department of Research and Development RFP NO.4575 Community -Based Mental Health Center Hawai'i Island Community Health Center Application HICHC is dedicated to providing essential primary healthcare services —including medical, dental, and behavioral health care —to underserved populations, ensuring that no one is turned away due to their ability to pay. Our commitment extends to the elderly, the homeless, individuals with chronic conditions, and those facing mental health and substance use challenges. We also serve Native Hawaii an populations and other culturally diverse communities, offering care that is respectful and responsive to the unique needs of each group. By focusing on preventive care, early intervention, and comprehensive treatment, HICHC helps to reduce health disparities and improve outcomes for those who are most at risk. We are proud to be a dependable resource for those who may otherwise go without care, fostering better health and well- being throughout the County of Hawaii . e) Certificate of Good Standing A Please see Certificate of Good Standing from the State of Hawaii DCCA attached. f) IRS Determination Letter for a Sot W 3 Tax -Exempt Status Please see IRS Determination Letter attached. County of Hawai'i Department of Research and Development RFP NO.4575 Community -Based Mental Health Center Hawai'i Island Community Health Center Application 2) Community Benefit a) History of Creating Community Benefits HICHC is an indispensable asset to the County of Hawai'i, delivering critical services as both a safety net healthcare provider and a significant driver of economic opportunity. As a Federally Qualified Health Center (FQHC), HICHC fulfills a vital role in ensuring access to essential healthcare for the most vulnerable populations, including low-income families, the uninsured, the homeless, and those facing complex medical and behavioral health challenges. Our comprehensive services —spanning primary medical, dental, behavioral health, reproductive health, and preventive care —reach every corner of Hawaii Island, addressing the diverse needs of underserved communities. Beyond healthcare, HICHC contributes significantly to the economic well-being of the island. With a $54,000,000 annual budget and 465 full-time employees, we are one of the largest and most stable employers in the region. HICHC provides residents with professional, well -compensated positions in healthcare and administration, fostering economic growth while empowering individuals to pursue fulfilling careers in their home communities. Our investment in local talent strengthens the island's workforce, creating opportunities for advancement and long-term employment. HICHC is. also deeply embedded in the fabric of the community through collaborative partnerships with other influential community -based organizations. We work alongside the hospital systems and CBO's, such as HOPE Services Hawaii, Neighborhood place of Puna/Kona, etc., to coordinate care and address the social determinants of health —such as housing instability, food insecurity, and transportation barriers —that have a profound impact on individual and community health. Together, we amplify our efforts to uplift and support the people of Hawaii Island, ensuring that critical services are not only accessible but also culturally responsive and aligned with the unique needs of our diverse population. HICHC's community impact is far-reaching, from providing life-saving healthcare services to driving economic stability, fostering partnerships, and advancing public health. We remain committed to improving the overall health and quality of life for all residents of Hawaii County, strengthening our communities today and for generations to come. b) Community Benefits with Impactful, Measurable Outcomes Establishing a Community -Based Mental Health Center in Hilo will create impactful and measurable outcomes for the community by addressing a critical gap in immediate mental health services. Such a facility will provide a safe, accessible space for individuals experiencing mental health crises, reducing reliance on emergency rooms and law enforcement interventions, which are often not equipped to handle complex behavioral health issues. Key measurable outcomes include: Reduced Emergency Room Visits: By diverting behavioral health emergencies away from hospitals, the Crisis Center will alleviate overcrowding in emergency rooms, freeing up medical R County of Hawai'i Department of Research and Development RFP NO.4575 Community -Based Mental Health Center Hawai'i Island Community Health Center Application resources for acute physical health issues. This will lead to shorter wait times and better overall healthcare system efficiency. Decreased Law Enforcement Engagement: A dedicated crisis center will decrease the need for law enforcement involvement in mental health situations, ensuring individuals in crisis receive appropriate care from trained behavioral health professionals. This will result in fewer arrests and jail time for individuals whose primary issue is mental health -related, leading to better health and social outcomes. Improved Continuity of Care: The 24/7 availability ensures that individuals in crisis receive timely intervention, reducing the likelihood of escalation and hospitalization. Immediate crisis stabilization, followed by connection to ongoing care, will improve long-term health outcomes by ensuring seamless care coordination and follow-up services. Lower Rates of Suicide and Self -Harm: Immediate access to crisis intervention services has been proven to reduce suicide attempts and incidents of self -harm. The presence of a crisis center will provide life-saving support, including suicide prevention measures, to those at the highest risk. Reduced Homelessness and Substance Use: By integrating services for co-occurring disorders, such as mental health and substance use, the Crisis Center will address root causes of homelessness and addiction, leading to reductions in homelessness rates and improved substance use recovery outcomes in the community. Strengthened Community Mental Health: With round-the-clock access to crisis care, individuals will be stabilized in their own community, helping to reduce stigma around mental health and ensuring that families and caregivers have a place to turn for help in times of need. This will foster greater public awareness and destigmatization of mental health issues over time. By offering specialized, immediate care in a safe, supportive environment, a Community -Based Mental Health Center in Hilo will significantly improve the overall mental health and safety of the community, while yielding measurable benefits across the healthcare, criminal justice, and social service sectors. c) Direct and Indirect Beneficiaries A Community -Based Mental Health Center in Hilo would benefit a wide range of individuals and organizations, both directly and indirectly. The tables below show examples of Direct and Indirect Beneficiaries, as well as potential quantifiable benefits to these populations. County of Hawai'i Department of Research and Development RFP NO.4575 Community -Based Mental Health Center Hawaii Island Community Health Center Application Direct Beneficiaries of 24/7 BH Crisis Center in Hilo Quantifiable Immediate accessto mental Individuals in Crisis health and substance use Reduction in:psychiatric hospitalizations, with data intervention services in a safe, showing decreased crisis recurrence rates. supportive environment. Reduced emotional and financial burden by having a Increased family involvement and support in the patient's Families and Caregivers resource to turn to during recovery process. mental health crises. -Reduced ER wait times and overcrowding by diverting Decrease in ER utilization for behavioral health crises by up Emergency Room Patients mental health emergencies to to leading to shorter wait times for other patients. the Crisis Center. Access to crisis stabilization Reduction in homelessness -related crises by offering Individuals Experiencing services, reducing the need for immediate intervention services and referrals to long-term Homelessness hospitalization and incarceration care Crisis intervention for those Substance Use Disorder Patients with co-occurring mental Reduced overdose incidents or emergency responses health and substance use related to substance use. disorders. Indirect Beneficiaries of 24/7 BH Crisis Center in Hilo indirect Beneficiary Benefit Quantifiable Benefit .Decreased involvement in non - Law Enforcement violent mental health crises, Reduction in police calls for.mental health crises by freeing up resources for other lowering the strain on law enforcement resources. community safety needs. Fewer hospitalizations and ER visits due to effective crisis Reduction in hospital admission rates for behavioral health Healthcare System -intervention and stabilization cases, lowering the overall cost of care. at the center. Reduction.in the need for long- Government and Social term public assistance and term Decrease in,demand.for long-term mental health and Services housing due to early housing services by treating crises. early. intervention and crisis stabilization. Reduced impact of untreated mental health crises on Improvement in school attendance rates among students Schools and Educational Institutions students and families, with mental health challenges due to timely intervention. improving school attendance and performance. Increased employee productivity and reduced Reduction in absenteeism or job loss among employees Employers and the Workforce absenteeism for individuals who previously struggled with untreated mental health who receive early behavioral issues. -healthsupport. By serving both direct and indirect beneficiaries the Community -Based Mental Health Center in Hilo will provide critical, measurable benefits across sectors, resulting in healthier individuals and communities while alleviating strain on public systems. County of Hawai'i Department of Research and Development RFP NO.4575 Community -Based Mental Health Center Hawai'i Island Community Health Center Application When considering demographics of those served by this Community -Based Mental Health Center in Hilo, it is important to note that mental health disorders can affect anyone, but certain some groups are hit. harder than others. Here's a snapshot of the demographics: Age: Mental health challenges don't discriminate by age, but young adults (18-25) have the highest rates of mental illness, with about 1 in 3 experiencing it. For teens, the numbers are also rising, especially with anxiety and depression. Gender: Women tend to report more mental health disorders than men. Roughly 23% of women in the U.S. deal with mental illness, compared to 16% of men. It doesn't mean men are doing better, though —many might be less likely to seek help or talk about it. Race and Ethnicity: Mental health disorders occur across all racial and ethnic groups, but the way they're experienced and treated can vary. For example, Native Hawaiians and multiracial adults report the highest rates, while Black, Hispanic, and Asian communities may face more barriers to care like access issues and stigma. Income: Money (or the lack of it) matters. People living below the poverty line are twice as likely to suffer from serious mental illness compared to those above it. Stress from financial instability can trigger or worsen mental health conditions. Veterans: Veterans, especially those exposed to combat, are at a higher risk of PTSD, depression, and anxiety. Around 17% of U.S. veterans suffer from mental illness. Consistent with our organizations mission, HICHC will provide BH service to all people who walk through our doors, regardless of their race, color, national origin, religion, sex, age, sexual orientation, or ability to pay. County of Hawai'i Department of Research and Development RFP NO.4575 Community -Based Mental Health Center Hawai'i Island Community Health Center Application 3) Project Description a) Experience HICHC as a Federally Qualified Health Center (FQHC), is uniquely qualified to provide crisis mental health services to underserved communities throughout Hawaii County. With several decades of experience delivering integrated behavioral health and medical services, HICHC has consistently served the most vulnerable and underserved populations across the island. Our commitment to comprehensive, patient -centered care is bolstered by our recognition for excellence by the Health Resources & Services Administration (HRSA), a testament to our long-standing financial, organizational, and clinical excellence. In zozz, HICHC earned four prestigious federal HRSA quality recognition awards. Most notably, our Behavioral Health Department received the National Quality Leader in Behavioral Health Award, placing us in the top 1-2% of all FQHCs nationally, far exceeding benchmarks for clinical quality measures. Additionally, HICHC was awarded the Quality Health Leader Award at the Bronze level, recognizing our organization in the top 21-30% of all FQHCs nationwide for achieving outstanding overall clinical quality measure performance. H ICHC's commitment to leveraging technology for improved patient care was further recognized with the Advancing Health Information Technology for Quality Award. This award highlights our achievements in optimizing health information technology, advancing telehealth, enhancing patient engagement, and improving, interoperability and the collection of social determinants of health data, all of which have contributed to increased access to care and higher -quality outcomes. Furthermore, HICHC has earned Patient -Centered Medical Home (PCMH) recognition under our HRSA 33oe grant, affirming our dedication to providing comprehensive, coordinated, and accessible care to the communities we serve. With this foundation of excellence and our deep roots in serving Hawaii County's most vulnerable populations, HICHC is well -positioned to expand its services to include crisis mental health care, meeting the growing need for accessible, high -quality behavioral health services in underserved areas. b) Alignment with Scope of Work While providing 24/7 behavioral health crisis intervention is beyond the current scope of services offered by HICHC, we believe that, with the support of this funding opportunity and partnership with the County of Hawaii, we are well -positioned to meet the requirements of this program as outlined in the RFP. Our decades of experience in delivering integrated behavioral health and primary care services to vulnerable populations, combined with our demonstrated organizational capacity and commitment to innovation, provide a solid foundation for this critical expansion of services. 10 County of Hawaii Department of Research and Development RFP NO.4575 Community -Based Mental Health Center Hawai'i Island Community Health Center Application. HICHC is prepared to establish and operate a 2417 Crisis Stabilization Center that offers immediate, short-term care for individuals experiencing a mental health crisis. We will implement a "no -wrong - door" policy, ensuring that services are accessible, welcoming, and accommodating for individuals at all levels of severity and cooperation. This approach will reduce barriers to care, fostering a safe and inclusive environment for all clients seeking assistance. To enhance the holistic well-being of those we serve, we will integrate primary care services on -site or through referrals, ensuring that clients' physical health needs are addressed alongside their mental health care. This integration will contribute to improved overall outcomes and promote long- term well-being for our clients. Additionally, HICHC will further develop our comprehensive care coordination system to help facilitate seamless transitions between crisis stabilization, integrated care, and community support services for patients utilizing the Center. This system will prioritize continuity of care, ensuring that clients receive the support they need from the moment they enter the Center, through their return to community -based services. Sustainability is central to our long-term vision for this program. HICHC will pursue sustainability through a combination of billable services and grant opportunities, allowing us to provide high - quality, crisis stabilization services that are financially viable and accessible for the long term. Sustainability will require ongoing partnerships at the County and State level. Through this strategic and coordinated approach, we are confident in our ability to fulfill the scope of work as outlined and deliver critical crisis intervention services to the County of Hawaii. c) Service Delivery Plan HICHC is committed to establishing a Community -Based Mental Health Center in Hilo. This Center will serve as a critical resource for individuals experiencing mental health crises, offering immediate care, stabilization, and seamless transitions to ongoing support services. The Center will integrate primary care and mental health services and work in close coordination with local agencies, service providers, and community organizations. The plan is designed in alignment with SAMHSA's National Guidelines for Behavioral Health Crisis Care Best Practices Toolkit, ensuring that our crisis services reflect the highest national standards for quality and efficiency. Target Population: HICHC will serve a diverse and vulnerable population, focusing on those in Hawaii County experiencing acute behavioral health crises. This includes individuals with severe mental illness (SMI), co-occurring substance use and mental health disorders, adults, and families in crisis, as well as individuals facing homelessness. Our population will also include justice -involved individuals referred by law enforcement, people in contact with emergency medical services (EMS), and clients referred from primary care or community organizations. The focus is on serving individuals who face barriers to care due to socioeconomic, geographic, or insurance challenges, with particular attention to underserved and high -risk populations. 11 County of Hawaii Department of Research and Development RFP NO.4575 Community -Based Mental Health Center Hawai'i Island Community Health Center Application Service Types and Organizational Structure of Staff Crisis Stabilization Services The Center will build capacity to operate 2417, providing a full range of immediate care services for individuals in acute mental health crisis. The goal is rapid stabilization and treatment, with a commitment to ensuring no one is turned away. Services provided will include: Immediate Mental Health Assessment: All clients will undergo an initial assessment to determine the severity of their crisis and the appropriate level of intervention. Crisis Counseling -and De-escalation: Licensed behavioral health clinicians will provide crisis de- escalation and counseling to stabilize the client emotionally. Psychiatric Evaluation and Medication Management: Psychiatric providers will be available for immediate evaluation and medication management, with prescriptions or adjustments provided on -site. Short -Term Observation and Monitoring: Clients will receive care in a structured environment, depending on their condition and needs. Continuous monitoring by RNs will ensure safety and medical stability. Peer Support and Recovery Coaching: Certified peer support specialists will be available to help clients navigate their crisis, offering emotional support and guidance from their own lived experiences. Discharge Planning and Care Coordination: Once stabilized, clients will be connected with ongoing behavioral health or social services, ensuring they receive follow-up care and long-term support. Integration of Primary Care Services HICHC's integrated care model will allow us to address both the mental and physical health needs of individuals in crisis. Primary care services will either be provided on -site or through warm handoff referrals to HICHC's network of primary care providers. Integration will include: Health Screenings: Upon arrival, clients will undergo physical health assessments, including vital signs and any necessary lab work or screenings to ensure there are no medical complications exacerbating their crisis. Chronic Disease Management: For clients with ongoing health conditions (e.g., diabetes, hypertension), H ICHC will ensure they receive the necessary medications and treatment. Linkage to Primary Care: Clients who do not have a primary care provider will be connected with one at HICHC to ensure continuity of physical health care following crisis stabilization. Telehealth Integration: For some clients, telehealth consultations will be used to provide more immediate access to primary care or specialist services without leaving the Center. Staffing Plan The Center will be staffed by a multidisciplinary team to ensure that all aspects of client care — physical, mental, and emotional —are addressed. Staff will wear identifiable uniforms and implement security measures as per training they will receive. Staffing will meet best practices for crisis intervention and stabilization and will include: 12 County of Hawai'i Department of Research and Development RFP NO.4575 Community -Based Mental Health Center Hawai'i Island Community Health Center Application Behavioral Health Clinicians (Licensed Social Workers, Marriage and Family Therapists, Licensed Mental Health Counselors): These clinicians will provide direct crisis counseling, case management, and psychosocial support. At least two clinicians will be on duty at all times to ensure timely interventions. Psychiatric Providers (Psychiatrists, Psychiatric Nurse Practitioners): A psychiatrist or psychiatric nurse practitioner will be on -call, with in -person consultations available as needed. They, will provide psychiatric evaluations, medication management, and ongoing mental health support during crisis stabilization. Registered Nurses (RNs): RNs will monitor clients' physical and mental health, administer medications, and assist with care coordination. Nurses will be critical in maintaining medical oversight and safety. Peer Support Specialists: Peer specialists, individuals with lived experience in recovery, will work alongside clinical staff to offer emotional and practical support to clients during crises, helping to build trust and engagement. Case Managers: Case managers will ensure that clients are connected to follow-up services, social support, and other community resources after discharge. They will also coordinate care transitions between the Center and other providers. Administrative Support: Administrative coordinators will handle client intake, EHR documentation, scheduling, and logistics to ensure smooth operations. Service Utilization Data Collection Through EPIC EHR HICHC uses the EPIC electronic health record (EHR) system, which will be the backbone of our data collection efforts. Service utilization data will be collected in real-time and will include the following: Client Demographics and Health Histories: Documenting age, gender, ethnicity, socioeconomic status, and prior medical and mental health history. Crisis Episode Details: Recording the nature of the crisis, interventions provided, and stabilization timelines. Clinical Outcomes: Tracking psychiatric assessments, medication administration, counseling sessions, and follow-up care. Referral and Discharge Data: Capturing the number of referrals made for primary care, social services, and community support, as well as tracking the follow-up outcomes. Performance Metrics: Monitoring the timeliness of care, length of stay, and overall effectiveness of the Center in resolving crises. Financial and Billing Data: Leveraging EPIC's revenue cycle management features to ensure billable services are documented properly for Medicaid, MedQUEST, and other payers. This data will inform quality improvement efforts, ensuring HICHC meets or exceeds both internal benchmarks and those set forth by funding bodies such as HRSA/Health and Human Services. Increasing Resilience, Supporting Recovery, and Providing Relief to Consumers The services provided at the HICHC Community -Based Mental Health Center will focus on three key outcomes for individuals in crisis: resilience, recovery, and relief. 13 County of Hawai'i Department of Research and Development RFP NO.4575 Community -Based Mental Health Center Hawai'i Island Community Health Center Application Resilience: Through trauma -informed care and peer support, clients will develop coping strategies and emotional resilience that help them manage future crises more effectively. Recovery: HICHC's care model promotes a recovery -oriented approach, ensuring that clients not only stabilize during the crisis but also receive the tools and support needed to sustain long-term recovery. This includes access to ongoing therapy, medication management, peer coaching, and community services. Relief: Immediate relief from distress will be a priority through rapid intervention and stabilization. Clients will have access to a safe environment, compassionate care, and evidence - based treatments to alleviate the emotional and psychological distress of their crisis. HICK will provide food and beverages to clients as well to help relieve destress. The Center Overview: Staffing and Collaboration with Emergency Services The Center will operate in close collaboration with emergency services, including law enforcement, EMS, and local hospitals. To ensure a seamless transition of care: Emergency Service Protocols: Clear referral protocols will be established with law enforcement and EMS to direct individuals in crisis to the Center rather than emergency departments or jails, when appropriate. Direct Communication Channels: A 24-hour hotline will be available to ensure rapid communication between HICHC staff and emergency responders. In -Person and Telehealth Consultations: Psychiatric providers will offer real-time evaluations through telehealth when immediate in -person consultations are not possible. On -Site Medical Care: Registered nurses and PCP's will be available to handle medical needs on - site, reducing the need for unnecessary hospital visits. Effective Coordination of Services with Other Agencies and Partners HICHC's Center will be an integral part of a broader care network. To ensure effective coordination, we will: Partner with Community Organizations: Collaborate with local shelters, housing organizations, and food programs to connect clients with social determinants of health support. H ICHC will maintain disposition responsibility for all referred cases. Justice System Collaboration: Work closely with the justice system to ensure that individuals diverted from law enforcement or returning to the community after incarceration receive mental health support. MedQUEST and Medicaid: Ensure that services are billed appropriately and that clients are connected to Medicaid/MedQUEST coverage as part of their care coordination. Local Hospitals and Healthcare Providers: Create seamless referral pathways to primary care physicians, specialists, and hospitals for clients needing ongoing care or additional services. Government Entities and Contracted Service Providers: Collaborate with government personnel and contracted providers to ensure compliance, transparency, and quality in delivering services. Connecting Clients to Resources and Supporting Success HICHC's holistic approach will ensure that individuals are connected to the resources they need for long-term success: 14 County of Hawaii Department of Research and Development RFP NO.4575 Community -Based Mental Health Center Hawai'i Island Community Health Center Application Peer Support: Peer specialists will provide ongoing recovery coaching, helping clients stay engaged with their treatment plans and navigate community resources. Peer support groups will also be offered as needed. Case Management: Our case managers will assist clients in accessing housing, employment, and financial assistance, as well as arranging ongoing behavioral health services. Community Partnerships: Partnerships with local nonprofits, housing providers, and job training programs will be leveraged to support clients' reintegration into the community, ensuring they have the tools and resources necessary to succeed post -crisis. Through these efforts, HICHC will provide a comprehensive system of care that goes beyond stabilization to promote recovery and resilience, creating lasting change in the lives of the individuals we serve. Implementing the Community -Based Mental Health Center at HICHC in Hilo, brings numerous key benefits to the community, individuals in crisis, and the broader healthcare system. These benefits align with best practices in behavioral health crisis care and aim to address both immediate needs and long-term outcomes for vulnerable populations. Key Benefits of Implementing this Plan Improved Access to Crisis Care for Vulnerable Populations By establishing a 24/7 Crisis Stabilization Unit (CSU), individuals in mental health crisis will have immediate access to high -quality care, regardless of the time or day. This is especially important for underserved populations who may lack consistent access to mental health services due to financial, geographical, or insurance -related barriers. The no -wrong -door policy ensures that no one is turned away, providing essential care for those most in need. Reduction of Emergency Room (ER) and Law Enforcement Burden Emergency departments and law enforcement are often ill-equipped to manage mental health crises, leading to long wait times, insufficient care, and poor outcomes. The CSU will serve as a dedicated space for mental health crisis intervention, diverting individuals from ERs and reducing the strain on law enforcement. This allows for more appropriate care settings and a more efficient use of community resources, as individuals will be treated by specialized mental health professionals. Integrated Primary and Behavioral Health Care HICHC's model integrates primary care and behavioral health, addressing both the mental and physical health needs of clients. This holistic approach improves overall outcomes by treating co- occurring health conditions that may exacerbate mental health crises. By addressing physical health issues on -site or through referrals, clients will experience better recovery and resilience. Comprehensive Care Coordination and Seamless Transitions The plan includes a robust care coordination system to ensure that clients are smoothly transitioned from crisis stabilization to ongoing services, whether they require behavioral health follow-up, primary care, housing, or social services. This prevents gaps in care, improves outcomes, and reduces the likelihood of clients returning to crisis situations. By partnering with 15 County of Hawai'i Department of Research and Development RFP NO.4575 Community -Based Mental Health Center Hawai'i Island Community Health Center Application other local agencies, justice systems, community organizations, and healthcare providers, the Center will create a more connected and cohesive support network for individuals in crisis. Enhanced Community Safety and Public Health By offering a dedicated space for mental health crisis care, this plan helps create a safer community by reducing incidents related to untreated mental health crises, such as homelessness, substance use, and interactions with law enforcement. Individuals receive appropriate care, which contributes to better health outcomes, reducing the long-term public health impact of untreated mental health conditions. Promotion of Recovery and Resilience With trauma -informed care, peer support, and recovery -focused services, the Center will promote lasting recovery and resilience for clients. Peer specialists and case managers will ensure that individuals receive the emotional, practical, and clinical support necessary to regain stability and stay on a recovery path. This long-term focus helps reduce recidivism into the crisis system, as individuals are empowered to manage their mental health more effectively. Cost Efficiency and Financial Sustainability By leveraging billable services through Medicaid, MedQUEST, and other funding sources, HICHC will ensure that the CSU is financially sustainable. The diversion of individuals from ERs and law enforcement also leads to cost savings for the healthcare system and local government. Over time, a reduction in preventable hospitalizations and justice system involvement will decrease overall costs for the community, making the plan economically beneficial. Data -Driven Quality Improvement The use of HICHC's EPIC electronic health record system ensures that data on service utilization, client outcomes, and performance metrics is tracked in real-time. This allows for continuous monitoring and quality improvement efforts, ensuring that the CSU meets the highest standards of care. The ability to document and analyze data will also support grant reporting and compliance with regulatory bodies like HRSA. Culturally Responsive and Community -Focused Services HICHC is deeply embedded in the Hawaii Island community and is well -positioned to deliver services that are culturally responsive and reflective of the needs of the population. The integration of peer support, trauma -informed care, and local partnerships ensures that the services are not only clinically effective but also culturally attuned to the diverse populations of Hawaii County. Sustainability through Local Partnerships and Community Collaboration Collaboration with local community organizations, justice systems, and service providers will create a strong, sustainable network for mental health crisis care. These partnerships help ensure that clients receive comprehensive, ongoing support post -crisis, reducing the likelihood of recurring crises and fostering long-term mental health and wellness. 16 County of Hawai'i Department of Research and Development RFP NO.4575 Community -Based Mental Health Center Hawai'i Island Community Health Center Application Potential Challenges and Mitigation Strategies While the plan offers many benefits, there are potential challenges that must be addressed to ensure successful implementation. These include: Staffing Shortages and Workforce Burnout Operating a 2417 facility requires a dedicated and highly skilled workforce. Staffing shortages and burnout are common challenges in crisis care settings. To mitigate this, HICHC can invest in ongoing staff training, offer competitive compensation, and provide wellness programs for employees. Recruitment strategies can target both local talent and external professionals willing to relocate to Hawaii Island. Partnering with academic institutions and offering training opportunities may help build a pipeline of future mental health professionals. Funding and Financial Sustainability While the Center will leverage billable services and grants, initial funding and long-term financial sustainability are crucial. It will be imperative that HICHC pursue diverse funding streams, including government contracts, Medicaid reimbursement, philanthropic support, and federal grants. A proactive approach to grant writing and advocacy for state and county funding will be necessary to secure the financial resources needed for sustained operations. Community Awareness and Engagement Community members and stakeholders may need education on the value and availability of the Center. HICHC will conduct community outreach, informational campaigns, and partnerships with local organizations to raise awareness of the Center's services. Building trust within the community will also ensure that individuals feel comfortable accessing care when needed. Coordinating Multiple Agencies and Systems Effective care coordination between HICHC, law enforcement, EMS, hospitals, justice systems, and community organizations can be challenging due to differing operational protocols and objectives. H ICHC can establish clear communication channels, memorandums of understanding (MOUs), and cross -agency training to foster collaboration. Regular meetings and joint case reviews can help align goals and processes between partners. By addressing these challenges with proactive solutions, HICHC can maximize the positive impact of the Center and ensure its long-term success in improving the health and well-being of Hawaii County's most vulnerable populations. 17 County of Hawai'i Department of Research and Development RFP NO.4575 Community -Based Mental Health Center Hawai'i Island Community Health Center Application 4) Staffing and Personnel a) Staff Qualification To ensure the effective operation of a Community -Based Mental Health Center, the following key personnel positions are required. Each role demands specialized skills, experience, and qualifications to meet the needs of a robust mental health service delivery system. These positions are essential -to the successful and sustainable operation of a community -based mental health center, ensuring that services are available 24/7 for individuals in crisis while maintaining the highest standards of care and professionalism. Mental Health Center Program Director (Licensed Behavioral Health Professional) Qualifications: Master's or Doctoral degree in psychology, social work, counseling, or a related mental health field. Current licensure in Hawaii as a psychologist, licensed clinical social worker (LCSW), licensed mental health counselor (LMHC), or other relevant license. Minimum of 5 years of experience in a leadership role in behavioral health services, preferably in a community -based setting. Strong understanding of mental health treatment modalities, crisis intervention, and trauma - informed care. Proven ability to manage and oversee clinical operations, staff, and administrative duties in a 24/7 facility. Experience in developing and managing program budgets and reporting. Behavioral Health Clinician (LCSW, LMHC, or Psychologist) Qualifications: Master's or Doctoral degree in clinical psychology, counseling, or social work. Licensure in Hawaii (LCSW, LMHC, or Licensed Psychologist). Minimum of 3 years of clinical experience in a behavioral health setting. Expertise in conducting mental health assessments, formulating treatment plans, and delivering individual and group therapy. Familiarity with managing patients experiencing severe mental illness, substance use disorders, and co-occurring disorders. Strong communication and documentation skills, with experience working in electronic health records (EHR) systems. Mid -Level Medical Provider (Nurse Practitioner or Physician Assistant) Qualifications: Advanced practice degree from an accredited Nurse Practitioner (NP) or Physician Assistant (PA) program. Current licensure in Hawaii as a Nurse Practitioner or Physician Assistant. Minimum of 2-3 years of clinical experience, preferably.in psychiatric, behavioral health, or emergency care settings. Knowledge of psychopharmacology and experience managing mental health medications. Familiarity with crisis intervention strategies, trauma -informed care, and substance use disorders. 18 County of Hawai'i Department of Research and Development RFP NO.4575 Community -Based Mental Health Center Hawai'i Island Community Health Center Application Ability to work collaboratively in a fast -paced, multidisciplinary team environment. Strong communication skills and proficiency in using electronic health records (EHR) systems. Registered Nurse (RN) or Psychiatric Nurse Practitioner (PMHNP) Qualifications: Current Hawaii RN license or Psychiatric -Mental Health Nurse Practitioner (PMHNP) license. Minimum of 3 years of nursing experience, with at least 2 years in a psychiatric or behavioral health setting. Expertise in psychopharmacology, medication management, and mental health nursing care. Experience in triaging mental health emergencies, crisis intervention, and coordination of care. Ability to work collaboratively with behavioral health clinicians and support staff in a 24/7 environment. Case Manager Qualifications: Bachelor's degree in social work, psychology, or a related field (Master's degree preferred). Minimum of z years of experience in case management, preferably in a behavioral health setting. Experience in coordinating services and resources for individuals with mental health or substance use challenges. Familiarity with community resources, housing, employment services, and social support programs. Strong organizational skills and ability to manage complex cases with multiple needs. Peer Specialist Qualifications: Personal experience with recovery from mental health or substance use challenges. Certification as a Peer Specialist, which typically requires completion of state -approved training programs. Strong communication and active listening skills to effectively support individuals experiencing crises. Ability to collaborate with clinical teams and work in a fast -paced, high -stress environment. Understanding of trauma -informed care, crisis intervention techniques, and de-escalation methods. Flexibility to work in a 24/7 setting, often requiring evening, weekend, and holiday shifts. Basic knowledge of mental health systems, local resources, and support services to assist individuals in connecting with appropriate care. Support Staff (24/7 Receptionist, Security, and Maintenance Personnel) Qualifications: High school diploma or equivalent required. Previous experience working in a healthcare or mental health setting preferred. Strong interpersonal and communication skills to handle crisis situations and assist with patient flow. Basic knowledge of safety protocols, security procedures, and emergency response. HICHC is well -positioned to staff the proposed Community Mental Health Center due to our existing pool of highly qualified behavioral health clinicians, medical providers, registered nurses, and case M County of Hawai'i Department of Research and Development RFP NO.4575 Community -Based Mental Health Center Hawai'i Island Community Health Center Application managers. Our team currently provides comprehensive mental and physical health services to the community, and many of our existing staff possess the necessary qualifications, experience, and expertise to fulfill the roles required at the Crisis Center. However, as this will be a new program within our organization, specific staffing considerations must be addressed. The positions required for the 24/7 operation of a Community Mental Health Center will necessitate the creation of new job descriptions tailored to the unique demands of a 24/7 crisis intervention setting. While HICHC has many qualified professionals who are equipped to fill these roles, all positions associated with this new program will be treated as new hires. Therefore, in accordance with our organizational policies, all staff members interested in transitioning to this program will need to go through the formal application and interview process. This ensures that each individual selected is not only qualified but also fully prepared for the responsibilities and challenges specific to operating within a 24/7 crisis response environment. It also allows us to ensure that the right mix of expertise, skills, and experience is brought together to meet the needs of the individuals and families who will rely on the Center. We are committed to staffing the center with the highest caliber of professionals and ensuring a seamless transition as we launch this essential service for the community. W County of Hawai'i Department of Research and Development RFP NO.4575 Community -Based Mental Health Center Hawai'i Island Community Health Center Application b) Staffing Plan The table below reflects the desired staffing configuration for the Hilo Community -Based Mental Health Center staffed 2417. TIME FRAME.. Program Director BH Provider Medical Provider RN Case Manager Peer Specialist Security House Cleaning Staff will be scheduled in 8-hour shifts: Morning Shift: 7:0o AM — 3:00 PM; Afternoon/Evening Shift: 3:00 PM —11:00 PM; Night Shift: ll:oo PM — 7:0o AM it is crucial for a program director, behavioral health provider, and medical provider to be on -call for a 24/7 mental health crisis center to ensure comprehensive, timely, and expert support for both staff and clients. Program Director: Provides leadership and operational oversight, ensuring the center adheres to policies, handles emergencies, and maintains smooth operations. They address staffing, procedural issues, and critical decision -making, which is vital for a high -functioning crisis center. Behavioral Health (BH) Provider: As clinical experts in mental health, BH providers offer essential guidance in assessing and managing complex cases. Their expertise helps staff navigate challenging situations, ensuring clients receive proper care, therapeutic interventions, and appropriate referrals. Medical Provider: Mental health crises often involve co-occurring physical health issues or medical emergencies that require immediate attention. Having a medical provider on -call ensures that any physical health concerns or medication management issues are addressed promptly, maintaining the safety and well-being of clients. Together, these roles form a critical support system, ensuring that the mental health center can respond effectively to any situation that arises, maintaining high standards of care around the clock. 21 County of Hawai'i Department of Research and Development RFP NO.4575 Community -Based Mental Health Center Hawai'i Island Community Health Center Application J c) Staffing Development HICHC is dedicated to ensuring that staff working in the Community -Based Mental Health Center are equipped with the necessary skills and knowledge to provide high -quality, compassionate care to individuals in crisis. We recognize that comprehensive and ongoing training is essential for our staff to effectively meet the complex needs of patients in acute mental health situations. To that end, HICHC is committed to providing training and development opportunities in the following four key areas: Trauma -Informed Care Training Trauma -Informed Care training teaches staff how to recognize and respond to the signs of trauma in patients. It emphasizes creating a safe and supportive environment where patients feel respected, empowered, and in control of their care. This approach helps minimize the risk of re -traumatization and promotes healing by understanding the widespread impact of trauma and how it may affect an individual's behavior, decisions, and mental health needs. This training is critical for staff working in crisis settings, as many individuals seeking services will have histories of trauma. Crisis Prevention and Intervention (CPI) Training Crisis Prevention and Intervention (CPI) training equips staff with the skills to safely manage and de-escalate crisis situations. This training focuses on non-violent methods for calming individuals in distress, preventing harm to the individual and others. CPI training also emphasizes effective communication, behavior management techniques, and creating a safe environment for both patients and staff. In the context of a 2417 crisis center, these skills are vital to ensuring that individuals experiencing acute mental health crises are handled with care and safety. Suicide Risk Assessment and Intervention Training Suicide Risk Assessment and Intervention training prepares staff to identify warning signs of suicide and implement appropriate interventions. This training includes understanding risk factors, protective factors, and the use of screening tools to assess suicide risk. Staff are trained on how to have difficult conversations with individuals contemplating suicide and how to create and implement safety plans to prevent self -harm. This training is essential for crisis center staff, as they will frequently encounter individuals at high risk for suicide. Motivational Interviewing (MI) Training Motivational Interviewing (MI) is a person -centered counseling technique that helps individuals resolve ambivalence and strengthen their motivation for change. In the context of mental health and crisis intervention, MI training equips staff with the skills to engage patients in meaningful conversations about their treatment goals, encouraging them to take an active role in their own recovery. MI is particularly effective for individuals who may feel resistant or unsure about seeking help, as it empowers them to make informed decisions about their care. By investing in these critical areas of training, H ICHC is ensuring that our staff have the necessary tools to provide compassionate, effective care to individuals in crisis. We are committed to fostering 22 r County of Hawai'i Department of Research and Development RFP NO.4575 Community -Based Mental Health Center Hawai'i Island Community Health Center Application a learning environment where staff can continue to grow professionally and deliver the highest standards of care to our community. d) Staffing Contingency Plan HICHC is committed to ensuring that the new 24/7 Community -Based Mental Health Center is fully and effectively staffed to meet the critical mental health needs of our community. To achieve this, key members of our leadership team, including the Director of Behavioral Health, the Chief Operations Officer, the Medical Director, and the Mental Health Center Program Director, will work collaboratively to strategize and reallocate staff from other HICK clinic positions to fill essential roles within the new Center when there are critical vacancies in program staff. Given H ICHC's existing workforce of 465 employees across our various clinic locations on the island, we are well -positioned to tap into this talent pool for staffing the Center. This reallocation strategy will allow us to leverage our current staff 's skills and experience, while maintaining continuity of care across our other health services. Additionally, to ensure the 24/7 staffing model is sustainable, we will implement a cost differential for employees working late hours, on -call shifts, and overnight rotations. This differential is intended to recognize the unique demands of crisis care and incentivize staff to take on these critical roles, maintaining a robust and resilient staffing model at all hours of operation. By reallocating our qualified personnel and offering compensation adjustments for late -hour and on - call shifts, H ICHC hopes to maintain consistent, high -quality staffing for the Community -Based Mental Health Center, ensuring this essential service is available for those in need at any time. 23 County of Hawai'i Department of Research and Development RFP NO. 4575 Community -Based Mental Health Center Hawai'i Island Community Health Center Application 5) Financial and Sustainability a) Total Finding Request HICHC is seeking $3,445,000 to fund zz-months of operation for a 24/7 Community -Based Mental Health Center to be located in Hilo, Hawaii. Please see Attachment C: Budget for a detailed line item budget describing revenue and expenses for the program. b) Budget Narrative The attached program budget reflects the financial risk to be undertaken by HICHC in order to deliver on the objectives and outcomes established in this RFP. The grant award ($3,445,0oo) does not cover the costs associated with opening and operating the Community -Based Mental Health Center in Hilo ($5,462,242), and thus it is imperative that billable revenue is immediately maximized to cover the deficit in expenses ($2,017,242).- PERSONNEL ($3,046,612): The largest expense is personnel. Staffing a mental health crisis center 24/7, with 6-months program development, and 16-months of program operations equates to staffing the crisis center for 2,952 consecutive hours. The core team of the program will include 1 FTE Program Director, 4 FTE Registered Nurses, 4 FTE Case Managers, 4 FTE Peer Specialists, 4 FTE Security Guards, .75 BH Provider, .75 Medical Provider, .5 FTE Call Center Operator, .zo Psychiatrist, .2 FTE Pych APRN, .2 FTE Clinical Pharmacist, .2 FTE IT staff, .2 FTE Facilities/Main staff, .2 FTE HR, .2 FTE Accountant, and .2 FTE Billing -Coding. The cost of personnel fringe and taxes is 26%, and HICHC gives staff an annual bonus that is roughly 3% of their salary. SUPPLIES ($464,325): Items included in the supply line item includes such things as clinical supplies, pharmacy supplies, office supplies, BH screening tools, facility supplies, janitorial supplies, video camaras and signage for inside and outside of the building. TRAVEL ($40,849): HICHC will send program management on two separate trips to gather information from other programs to see best practices and see how other programs set-up their workflow for similar programs. HICHC staff will travel to the CBMHC in Maui and Tucson. In addition, HICHC will incur travel costs associated with leadership driving between Hilo and Kona. CONTRACUAL ($1,439,289): Items included in the contractual line item of the budget include lease on the space to provide program services, IT/Phone installation, electronic health record system set up and maintenance cost for site, language translation vendor services, printer rental, insurance, clinical subscriptions for vendor services related to providers medical care of patients. OTHER COSTS ($471,167): Items included in the other costs include marketing and program promotional costs, pharmacy software subscriptions, legal fees for contracts, fees for provider/staff recruitment licensing, CME, and contract for Accuvax refrigeration unit. 24 County of Hawaii Department of Research and Development RFP NO.4575 Community -Based Mental Health Center Hawai'i Island Community Health Center Application c) Revenue Generation HICHC is committed to maximizing revenue generation by submitting charges to payers to the fullest extent possible for services rendered at our Community -Based Mental Health Center. As a Federally Qualified Health Center (FQHC), HICHC provides care to all individuals, regardless of their ability to pay, ensuring that no one is turned away due to financial limitations. However, given the high complexity and intensity of the care provided at this crisis center, which often requires specialized interventions and comprehensive behavioral health support, the revenue generated from billable services will not come close to covering the program's full operational costs beyond the time frame of this grant award. This shortfall is primarily due to limitations in reimbursement rates for the level of care required and the necessity of delivering services to uninsured or underinsured populations. Therefore, it is imperative that additional financial support from both the County, and the State of Hawa'i`i, is secured prior to the end date of this contract in order to sustain this vital community resource into the third year of the program. The backing of local government will be critical in ensuring that the program continues to provide essential, life-saving services to individuals in crisis across the island, regardless of their ability to pay. d) Financial Management HICHC adheres to the highest standards of financial integrity by following Generally Accepted Accounting Principles (GAAP) in all its financial operations. These best practices ensure transparency, accountability, and accuracy in managing and reporting financial transactions, safeguarding the organization's resources, and maintaining the trust of stakeholders, funders, and regulatory bodies. Financial Best Practices at HICHC Compliance with GAAP: HICHC ensures that all financial reporting, bookkeeping, and transactions are conducted according to GAAP standards, which guarantee that our financial records are accurate, consistent, and reliable. This framework allows us to produce clear and comparable financial statements, which are essential for effective decision -making and regulatory compliance. Annual Independent Audits: As a Federally Qualified Health Center (FQHC), HICHC undergoes a rigorous, independent annual audit performed by a certified public accounting firm. This audit reviews financial statements, internal controls, and compliance with federal, state, and local laws. The process ensures that HICHC's financial activities are transparent, and that the organization meets the highest financial and ethical standards. Any findings or recommendations from the audit are addressed promptly to strengthen our financial operations. Internal Controls: HICHC employs robust internal control measures to safeguard assets, prevent fraud, and ensure the accuracy of financial reporting. These internal controls include: 25, County of Hawai'i Department of Research and Development RFP NO.4575 Community -Based Mental Health Center Hawaii Island Community Health Center Application o Segregation of Duties: Critical financial functions such as approval, recording, and reconciliation of transactions are divided among multiple staff members to reduce the risk of errors or misuse. o Regular Reconciliations: Bank accounts, payroll, and general ledger accounts are reconciled regularly to ensure that all financial transactions are accurate and recorded in a timely manner. o Budget Monitoring and Financial Reporting: HICHC actively monitors its budget, ensuring that actual revenues and expenses align with projections. Financial reports are generated and reviewed by leadership and the Board of Directors to maintain financial health and operational efficiency. Grant Compliance and Reporting: As a recipient of government and private grants, HICHC has strict processes in place to track grant funds and ensure they are used appropriately and in accordance with funder requirements. Regular financial reporting to grantors is part of our commitment to accountability. These financial best practices help ensure HICHC's long-term sustainability and its ability to deliver vital healthcare services to the community, while maintaining the trust of stakeholders and funders. e) Sustainability Plan The only way a 24/7 Community -Based Mental Health Center, fully accessible to all who walk through its doors and guided by a no -wrong -door philosophy, can remain a sustainable and life-saving resource for our community is through strong, collaborative partnerships with the County of Hawaii, the State of Hawaii, and private funders who share a vested interest in the well-being of our island residents. This essential program is not just a safety net —it is a lifeline for individuals in crisis who may have nowhere else to turn. HICHC is deeply committed to providing these services, regardless of an individual's ability to pay, ensuring that no one is turned away in their time of greatest need. While HICHC will work diligently with insurance payers to maximize billing for services provided, we know that reimbursement alone will never come close to covering the full cost of operating a 24/7 facility that requires highly trained staff, specialized behavioral health services, and a wide range of critical support. The complexity of the care needed in a mental health crisis environment far exceeds what current payer structures are able to support. To keep the doors of this vital program open and ensure that it continues to serve all who seek help, a robust public -private partnership is essential. Continued operations beyond the initial grant funding will require ongoing investment from the County, the State, and private funders who understand the importance of sustaining this critical community resource. Together, we can ensure that individuals in crisis receive compassionate, expert care around the clock, giving them a chance to recover and reintegrate into society, ultimately strengthening the fabric of our entire community. Without this collective support, the program cannot be sustained beyond this grant period. IM County of Hawai'i Department of Research and Development RFP NO.4575 Community -Based Mental Health Center Hawai'i Island Community Health Center Application f) COVID-19 Aid HICHC received a $650,000 grant from the County of Hawaii to finish construction on an in-house COVID-Tg community testing and vaccination site. HICHC also received $973,000 in federal funding for "Paycheck Protection Program" and an additional $6.6 million from Health and Human Service for health center response and stabilization to the COIVD-ig crisis. ' 27 County of Hawai'i Department of Research and Development RFP NO.4575 Community -Based Mental Health Center Hawai'i Island Community Health Center Application g) Project Timeline The timeline below reflects an outline for project phases, including planning, development, implementation, evaluation along with key milestones within each phase. Time Frame Project Phase Key Milestones #of Integrated # of crisis Stabilization 1. Program workflow developed. Care PTs PTS January 2025 Planning: 2. HR posts job descriptions 0 0 3. Leadership team does site visit to CBMHC's in Maui and Tucson, AZ February Planning:1. Define program structure 0 0 2025 z. Develop protocols and procedures March 2025 ' Planning: 1. Establish evaluation matrix and build evaluation reports o 0 April 2025 Planning: i. Marketing materials dispersed in community o 0 Ma zoz5 Planning: i. Staff training and on -boarding 0 0 June 2025 Planning: 1. Community Open -House Event for consumers and CBO 0 0 partners 9. Program Launch July zoz5 Implementation: z. Roll out the program, ensuring that all staff are hired, 3� 72 trained, and in place, and that facilities are ready to provide services. 1. On -going assessment of program performance against the established goals and objectives, including client outcomes, service efficiency, and financial performance. z. Data Collection: Collect and analyze data on service August Evaluation & delivery, client satisfaction, and clinical outcomes to inform 63 zo zoz5 Adjustment: continuous improvement efforts. 3. Adjustments and Scaling: Based on evaluation results, adjust the program as necessary to improve outcomes and address emerging needs. If the program is successful, explore opportunities for scaling.or expanding services. September Evaluation & 1..On-going assessment of program performance 2025 Adjustment: z. Data Collection 113 21 3. Adjustments and Scaling Evaluation & 1. On -going assessment of program performance October 2025 Adjustment: z. Data Collection 125 40 3. Adjustments and Scaling November Evaluation & 1. On -going assessment of program performance 2025 Adjustment z. Data Collection 125 40 3.Adjustments and Scaling December Evaluation & i. On -going assessment of program performance 2025 Adjustment: z. Data Collection 125 6o 3. Adjustments and Scaling Evaluation &1. On -going assessment of.program performance January 2026 Adjustment: z. Data Collection 125 6o 3. Adjustments and 5calin February Evaluation & 1. On -going assessment of program performance 2026 Adjustment: z. Data Collection 125 72 3. Adjustments and Scaling 1. On -going assessment of program March Evaluation.& performance 2o26 Adjustment: z. Data Collection 125 7z 3. Adjustments and Scaling April zoz6 Evaluation & i. On -going assessment of program performance 125 8o Adjustment: 1 z. Data Collection Ft.] County of Hawai'i Department of Research and Development RFP NO.4575 Community -Based Mental Health Center Hawaii Island Community Health Center Application 3. Adjustments and Scaling i. On -going assessment of program.performance May 2o26 Evaluation & 2. Data Collection '125 8o Adjustment: 3. Adjustments' and Scaling Evaluation & 1.On-going assessment of program performance June 2o26 Adjustment: 2. Data Collection 125 8o 3. Adjustments and Scaling Evaluation & 1.On going assessment of program performance July 2026 Adjustment: 2. Data Collection 125 8o 3. Adjustments and Scaling 1. Strengthen partnerships with community organizations, August 2026 Stabilization & government agencies, and healthcare providers to ensure 125 8o Growth the program remains well -integrated into the broader health and social services ecosystem. 1. Strengthempartnerships with community organizations, September Stabilization & government agencies, and healthcare providers to ensure 125 8o 2026 Growth the program remains well -integrated into the broader health and social services ecosystem. 1. Strengthen partnerships with community organizations, October zoz6 Stabilization & government agencies, and healthcare providers to ensure 125 80 Growth the program remains well -integrated into the broader health and social services ecosystem. h) Compete Attachment D "Line -Item Budget" Please see Attachment C: Budget for a detailed line -item budget. 29 County of Hawai'i Department of Research and Development RFP NO.4575 Community -Based Mental Health Center Hawai'i Island Community Health Center Application 6) Evaluation and Performance Measurements a) Performance Measures HICHC is committed to evaluating the effectiveness and impact of the Community -Based Mental Health Center in Hilo using clearly defined performance measures. These measures will ensure the program meets its objectives and improves the well-being of the community it serves. The evaluation will focus on key data points that align with our goals of service utilization, patient outcomes, access to care, and the integration of services. Specifically, HICHC will measure the following: Utilization of Health Services o Number of Patients Seen: Track the total number of individuals who access the mental health center, including both new patients and returning patients. This data will help assess community demand and program reach. o New vs. Returning Patients: Monitor the number of new patients versus returning patients to evaluate the program's ability to attract first-time users and its success in maintaining ongoing care relationships with existing patients. o Clinical Services Provided: Measure the number of clinical service units (e.g., counseling sessions, psychiatric consultations, crisis interventions) delivered, helping to quantify the scope of care provided. Crisis Diversion o Diverted Cases from Emergency Room (ER): Track the number of people diverted to the Center by the police or Crisis Mobile Outreach teams instead of being transported to the ER. Increases in these diversions will indicate the program's success in reducing unnecessary ER visits and improving crisis management in the community. Patient Outcomes o Referral to Ongoing Treatment: Measure the number of patients who receive referrals to ongoing mental health or substance use disorder (SU D) treatment after being stabilized at the Center. This metric will reflect the program's effectiveness in connecting individuals to long-term care solutions. o Improvement in Patient Outcomes: Evaluate improvements in patient outcomes through follow-up data, such as sustained recovery rates, reduced recidivism in crisis episodes, and adherence to recommended treatment plans. Access to Care for Underserved Populations o Increased Access to Care: Monitor the increase in the number of underserved populations accessing mental health services at the Center, including individuals from rural areas, low-income groups, and those with limited access to healthcare. This will demonstrate the program's ability to reach vulnerable groups in the community. 30 I County of Hawai'i Department of Research and Development RFP NO.4575 Community -Based Mental Health Center Hawai'i Island Community Health Center Application Integration of Primary Care and Mental Health Services o Integration of Services: Track the number of patients who receive both primary care and mental health services through HICHC's integrated care model. This data will show how well the Center is bridging the gap between physical and mental health, leading to comprehensive, holistic care. Patient Satisfaction o Patient Satisfaction Data: Collect patient feedback through surveys and other tools to measure satisfaction with the services received at the Center. High satisfaction scores will indicate that the program is responsive to patient needs and providing high -quality care. Patient Demographics and Diagnoses o Patient Demographic Data: Analyze demographic data (e.g., age, gender, ethnicity, income levels) to ensure the program is reaching diverse populations and addressing health disparities. o Prevalence of Mental Health and SUD Diagnoses: Track the types of mental health and substance use disorder diagnoses being treated at the Center to better understand the population's needs and adjust services accordingly. These performance measures will provide a comprehensive evaluation framework for the Community -Based Mental Health Center, allowing HICHC to monitor its impact, ensure continuous quality improvement, and demonstrate the value of the program to stakeholders, funders, and the community. Through these efforts, HICHC will ensure that the Center remains a critical resource for individuals in crisis, providing effective and accessible care for all. b) Data Collection and Reporting HICHC employs a state-of-the-art electronic health record (EHR) system, EPIC, which enables advanced data tracking and reporting. This system is fully customizable to, monitor a wide range of clinical and operational data, allowing HICHC staff to generate detailed reports at any programmed interval. The ability to tailor EPIC to the specific needs of our Community -Based Mental Health Center ensures that we can continuously track patient outcomes, service utilization, demographic trends, and other critical performance metrics. This empowers our team to make data -driven decisions, optimize care delivery, and maintain compliance with program requirements, ultimately improving patient care and program effectiveness. HICHC will provide the County of Hawaii with monthly reporting for the first nine.(g) months after contract award and quarterly reporting of thereafter up to September loth, 2oz6. Upon completion of the award period, a final report documenting the entire contract period, up to October 31, 2026 will be provided. 31 County of Hawai'i Department of Research and Development RFP NO.4575 Community -Based Mental Health Center Hawai'i Island Community Health Center Application c) Quality Improvement HICHC is dedicated to maintaining the highest standards of care through comprehensive Quality Improvement (QI) and Quality Assurance (QA) plans. These plans are driven by best practices in data collection, analysis, and the continuous evaluation of our services. HICHC follows a proactive approach to identifying areas for improvement and making necessary adjustments to ensure optimal patient outcomes and operational efficiency. Best Practices in Quality Improvement and Assurance: HICHC systematically collects and utilizes data from multiple sources, including patient health outcomes, service utilization, patient satisfaction surveys, and clinical performance metrics. This data is tracked and analyzed using our state-of-the-art EPIC electronic health record (EHR) system, which allows us to monitor trends in real time and generate customized reports. Data Collection and Utilization for Continuous Improvement: Identifying Areas for Improvement: By regularly reviewing data, we can identify specific areas where patient care or operational processes can be improved. This includes tracking clinical outcomes, monitoring adherence to treatment protocols, and evaluating patient wait times, access to care, and follow-up procedures. Continuous Flow of Bilateral Information: HICHC fosters an environment of open communication between leadership, clinical staff, and administrative teams. This bilateral exchange of information ensures that insights gained from data analysis are shared across the organization, allowing for collective input in decision -making and improvement strategies. Implementation of Changes: Based on the insights gained from ongoing evaluation, HICHC implements evidence -based changes to its practices, ensuring that adjustments are grounded in data and best practices. These changes are continuously monitored to evaluate their effectiveness and make further refinements as needed. Through this iterative process of data -driven evaluation, HICHC is able to consistently enhance the quality of care it provides, ensuring that we meet the evolving needs of the community while maintaining a high standard of clinical excellence. 32 County of Hawaii Department of Research and Development RFP NO.4575 Community -Based Mental Health Center Hawai'i Island Community Health Center Application Attachments Attachment A: Proposal Application Checklist Attachment B: ProposaLApplication Form Attachment C: Budget Attachment D: Certificate of Good Standing Attachment E: IRS Determination Letter Attachment F: RFP #4575 Addendum #1 33 ATTACH EMENT A: Proposal Application Checklist Organization: HIGHC RFP No: 4575 ATTACHMENT A 5.1 PROPOSAL APPLICATION CHECKLIST Applicant: Hawaii Island Community Health Center RFP No.: 4575 The Applicant's proposal must contain the following components in the order shown below. Return 'this checklist to the Durchasins azencv as Dart of the Proposal ADDlication. Required by Applicant to Item Reference in RFP FormaVInstructions Provided Purchasing Agency i ems in ace "ad d in Proosal General: Proposal Application Checklist Section 1, RFP Attachment A X X Proposal Application Form Section 1 RFP Attachment B X Proposal • Table of Contents • Entity Description & COGS • Community Benefit • Project Description • Staffing and Personnel • Financial and Sustainability • Evaluation and Performance Measurement Section 3 RFP Section 3 RFP X X One Unredacted Electronic Copy of Proposal PDF format Section 1 RFP Section 1 RFP X X One Redacted. Electronic Copy of Proposal PDF format Section 1 RFP, Section 1 RFP X X Certifications: Federal Certl rcadons Section 5 RFP Attachment F App. I X X Program Specific Requirements: N/A ATTACHMENT B: Proposal Application Form Organization: HICHC RFP No: 4575 ATTACHMENT B 5.2 PROPOSAL APPLICATION FORM Project Title: HICHC Community -Based Mental Health Center Organization West Hawaii Community Health Center (dba) Name: Hawaii Island Community Health Center Contact Natasha Ala, Director of Programs & Resource Dev. Name: Phone: 808-938-1699 Telephone: Email Email: nala@hicommunityhealthcenter.org Address: Project Category: Community Based Mental Health Center Funding Summary. Amount SURF Funds Requested. $ 3,445,000.00 Funds From Other Sources (if available). In -kind Contribution Value (if available). Total Project Cost. $ 2,017,242 $ 0 $ .462,242 ACKNOWLEDGEMENT I, the undersigned, hereby certify that the information provided in this County of Hawaii Request for Proposals has been reviewed in its entirety and the affixed signature accepts responsibility on behalf of said organization to inform its members of the content herein. All terms and conditions of this County of Hawaii Request for Proposals shall be a part of any contract entered into as a result of this proposal. Signature: Name (please type or print clearly): Richard Taa e Title: CEO Date Signed: 10/4/2024 ATTACHMENT C: Program Budget West Hawaii Community Health Center Inc. dba Hawaii Island CHC Hem Budget Jtatlftcatlon Jantscy 1, 2025 -OctoDe► 31, 2025 - I Hawali talmrd ComrmrJIV Health Garner- Commun M—e—ng R61F Center, HIS' - 45,WO for 10% odmh ellowod Told ALLOCATION BUDGET Year if Jan-0ec'2SI Yeas !an-0d J7 REVENUE seeded for "gone.adtanmaaitl tso. ¢ `3,445,000 386 00 Courn ofHwil-BehavlondHealth Crisis Cerft PmrarnFun start N into S 2 15 980 T7 bit aervicaahlkat6mod lavererarxreof IX+Oseaxdhatfof6rst ` 183da_xShSab/exSl00-g S 366.000 6 8r4r(yessMcga hro�lhenf0 coatd st,44ot)00 tomox x12h8htetdat7sX vk8-$6DOvfaita s 1 ao s a'1 D0 lfbMbAasuvkv: s Twc wsTRreKedwAhbTgablerervicss �illillilillillill� !"Ill EXPENSES I FTE MM (orsinbqfor BH C6de Program D odor@ 5110K4t S 163,11U S 91.667 S 91,667 4FTEPeerSepprtConchingSpedabb@SMuwhlyr S 262,500 S 150,000 S 112.500 IFTEPsdenfNavigalors$eeHCMxmp m@VlKewh S 414,157 S 236,667 ¢ 177,500 4FTERogf9eredMm @S100'Tv*-&s(JtJystarl y S 516,667 S 266,667 $ 250.000 4FTESoustl &wds0i55Kad* S 206.667 $ 106,667 S 10D,O00 .5FTEC 1CentarOporotor ¢ 30,000 $ 13,333 $ 16,667 .20FTEPsyclJaftt(mrcq ¢ 66,000 S 29,333 $ 36.667 .75FTEBlfftvdarI.Mlarphydo0ogist d5monlsk) S 151,875 S 67,500 S 84,375 .75FTEMadWDodor(neadedrepsychotrwicduprx,long eh)-atad5moln $ 225,000 $ 100,000 $ 125,000 .2FTEPychAPRN $ 28,500 S 12.667 S 15.833 .2FW MJ60Rwmecistfired *dfor opio6.adwtvecines,forrpactkVkk;vc4, S 37.500 S 16,667 S 20.833 EsSmafodcodddferen6dtorrrigMahiOs(52wksx5pwihbnsx7days x16Ivadayx$2ad04 S 108.773 S 58240 $ 48.633 Im Jym ry 2 M a I Fl F b ikptS .2f7E17sta7 S 23,833 $ 13,000 $ 10,833 .2FTEFacftaMatn[st0 $ 23,833 S 13.000 S 10.833 .2FTEHRSt0-I*kgsta8 ¢ 27,500 S 15,000 $ 12,500 .2FTEAc mmtanOfkianceSuffoverswgrant:APApayror,andn*c S 31,900 S 17AOG S 14,500 .2FTEEAVCodlgStad-davekpandhirlbrserviou S 25,657 C 14000 $ 11667 8 2361715 S 1221807 113 908 TOTAL PERSONNEL FRINOEBENEMS AtnualBonuses (estat3%) $ 70,851 S 36.654 $ 34,197 Other perammetfmgeRexes 26% $ 614 046 S 317,670 3 296,376 TOTAL FRINGE BENEFITS $ 897 354,324 33 73 TOTAL EL AND FRINGE 304 612 $ 1,57 ,131 S 1.470.482 an kus bran TOTALEOUIPRENT i S Ptamracy, medical clinical supplies used In visits S 66.000 $ 36,000 S 3D.000 ixniW ddesldtluh %kckig wbheb for rr.WW needs, esl i4W. EKG, EPMW slats an a stick W), smal mad instruments, egptvns for cwrw S 85.000 $ 65.000 $ 1D,OOD OfteSupplies - general. paper. postage,atc. $ 22.000 $ 12,000 S MOOD teertmeaband snacks S 33,458 S 18,250 $ 15,20B 10leptops or desktops4nanitaa @ $1700 S 18,700 $ 17.000 $ 1,700 Desk Phomfor stations @SOOTea $ 2,500 S 2,500 $ - aii Suppres-assaurnentws.cob, Tinau, S 18,333 S 10,000 $ 8.333 adhes wppks for tpipadesh fresh as needed - smal maintenance changes $ 27,500 S 15,000 $ 12.500 Apowcas Tavwdneratigeratms,washer,dryer, etc. $ 27,500 S 15,000 $ WOO Janitorial aW es (est SSKTmo) $ 110,000 S 60.000 $ 50,000 Woo Camaes for exterior and Interior-cabdng and Sic. Meraki $ 46,833 S 25,000 S 20.833 for outside and Y"nide of 27.500 S 16.000 S 12.500 TOTAL SUPPLIES $ 464 25 0 750 183,575 MEL Alrbre.lodlM.9mund ansportsSon,Y,aaaairyortpMap,ParDanx2HICHCealand lmadyaeaTuaoa,AZtadaw8Habeprojeu , $ 13,500 S 13,500 S - Lcdpeg.Womdeansponawn,KomakpanpselftPer Dan x2HICHCse'sandIcounty We M&A HIreviewBHawaivejetl $ 1,800 S 1.800 S - Detwaeraadandwestfor m =S2wka 2ee'87kuie $ 25.549 S 13,036 S 11,613 TOTALTRAVEL S 40,84g f 29,226 S 11,613 L.atmtor45NolmiShKHilo. H196720( te2*1111,700;Ste20243MO:Ste203M.700)llear $ 444,400 S 242,400 $ 262,000 Electrical watWfmwiftITWanyalMxda&*brme&dmazies.orwWwoletsforwporsormaputenlphonea $ 128,333 S 70,000 $ 5813" HCNcontrxaralfornewshe EPICA,,-, ichuMre d S 440,000 $ 240.000 S 200,0DO Seoraay SSKhno-Ahn tam; end npd ddw tanh sewdycmbact S 110,000 $ $0.000 S 60.000 ok*d Mocklim convactulkrsaLext4rfation,drogon,buamed,Wedit.cow SH $ 30,556 S 16.667 S 13.889 WmettrfxM PIM Bowet. Oaf and equip wl seam $ 66,000 $ 36.OW S 30,0D0 hw==onWhop.MaIpacke.W .etc S 66,000 S 36.000 S 3D,000 LuguepaTm=bW- it. V*M $ 22.CM $ 12,000 $ 10.ODO Jonlow CWMV Service. PodCwbol (esl11MMl ¢ 132.000 S 72.000 i S 6D,00D T07AL CONTRACTUAL S 1.4391,200 $ 785,0671 $ 655222 38.667 S 20.000 1 S 16.687 S --'- 18,333 S� 10.ODO,S 8.333 Phone AmKftnp5orrs,tTCarmagtbrgwneaaoflws+eforrwlaaaw#dws.idemaLFa 3 183.333 S 1001000 $ 113,333 UtliM"O$T4 W $ 132.000 $ 72.000IS 60,000 PhpLacy-Uam - "'- 6 20,000IS -_ 18,657 i 36.667 fsaMwntags,HR ase, dw Duaima tira,atc �.'..��'"_-..�., - .�..« S� 27,500 S 15,000 S 12,S00 S4 36.667 S • -. 20,000 i 18.657 aaskxnew tsauitrriera.icanuv, CME, eawgwe. wntrxtfeesiElersle TOTALOTH = 471167 S 267,000 t 2fI,l67 —F ..� .. -�. .. x A'- TOTAL BUDOM EIQEKSFI i 2,923,1333 S 2.534,M9 P min strative Departments rants o e Grants G COU 024 - 2025 FP No 4575 - Co a *i is t I Health Center u t- HICHC BH Crisis Cenr Program - UPDATED 10.6.24 ATTACHMENT D: Certificate of Good Standing 4 STATE OF HAWAII STATE PROCUREMENT OFFICE CERTIFICATE OF VENDOR COMPLIANCE This document presents the compliance status of the vendor identified below on the issue date with respect to certificates required from the Hawaii Department of Taxation (DOTAX), the Internal Revenue Service, the Hawaii Department of Labor and Industrial Relations (DLIR), and the Hawaii Department of Commerce and Consumer Affairs (DCCA). Vendor Name: WEST HAWAII COMMUNITY HEALTH CENTER, INC. DBA/Trade Name: HAWAII ISLAND COMMUNITY HEALTH CENTER Issue Date: Status: Hawaii Tax#: New Hawaii Tax#: FEINISSN#: UI#: DCCA FILE#: 09/10/2024 Compliant 14840852-48 GE-1484085248-01 XX-XXX5394 )0 XXXX8072 206368 Status of Compliance for this Vendor on issue date: Form Department(s) Status A-6 Hawaii Department of Taxation Compliant 8821 Internal Revenue Service Compliant COGS Hawaii Department of Commerce & Consumer Affairs Exempt LIR27 Hawaii Department of Labor & Industrial Relations Compliant Status Legend: Status Description Exempt The entity is exempt from this requirement Compliant The entity is compliant with this requirement or the entity is in agreement with agency and actively working towards compliance Pending A status determination has not yet been made Submitted The entity has applied for the certificate but it is awaiting approval Not Compliant The entity is not in compliance with the requirement and should contact the issuing agency for more information ATTAC H M E NT E: IRS Determination Letter INTERNAL REVENUE SERVICE P. 0. BOX 2508 CINCINNATI, OH 45201 Date: r EO 1 WEST HAWAII COMMUNITY HEALTH CENTER INC 75-5751 KUAKINI HWY STE 203 KAILUA KONA, HI 96740-1705 Dear Applicant: DEPARTMENT OF THE TREASURY Employer Identification Number: 20-0495394 DLN: 17053328753087 Contact Person: SHAWNDEA KREBS ID# 31072 Contact Telephone Number: (877) SZ9-5500 Public Charity Status: 170 (b) (1) (A) (vi) Our letter dated August 2004, stated you would be exempt from Federal income tax under section 501(c)(3) of the Internal Revenue Code, and you would be treated as a public charity, rather than as a private foundation, during an advance ruling period. Based on the information you submitted, you are classified as a public charity under the Code section listed in the heading of this letter. Since your exempt status was not under consideration, you continue to be classified as an organization exempt,€rom Federal income tax under section 501(c)(3) of the Code. Publication 557, Tax -Exempt Status for Your Organization, provides detailed information about your rights and responsibilities as an exempt organization. You may request a copy by calling the toll -free number for.forms, (800) 829-3676. Information is also available on our Internet Web Site at www.irs.gov. If you have general questions about exempt organizations, please call our toll -free number shown in the heading. Please keep this letter in your permanent records. Sinc Z ours, Robert Choi Director; Exempt Organizations Rulings and Agreements Letter 1050 (DO/Cr,) ATTACHMENT F: Request for Proposals RFP#4575 ADDENDUM #i ADDENDUM DATE: OCTOBER 4, 2024 Request for Proposals (RFP) Title: COUNTY OF HAWAI' I STATE AND LOCAL FISCAL RECOVERY FUNDS COMMUNITY -BASED MENTAL HEALTH CENTER RFP Number: 4575 Due Date: October 8, 2024, 4:000m HST Bid Contact: Stephanie Letro S�ephanie.Lettohawaiieounty. (808)961-8443 This addendum is to incorporate the following changes, deletions and/or additions to the original Request for Proposals. 1. Addition of Appendix i to Attachment F — Federal Terms and Conditions (see Attachment i) All other terms and conditions of RFP remain unchanged. ATTACHMENT 1 TO ADDENDUM 1 APPENDIX I TO ATTACHMENT F: FEDERAL TERMS AND CONDITIONS Certification for Contracts, Grants, Loans, and Cooperative Agreements The undersigned certifies, to the best of his- or her knowledge and belief, that: 1. No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of an agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement. 2. If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions. 3. The undersigned shall require that the language of this certification be included in the award documents for all subawards at all tiers (including subcontracts, subgrants, and contracts under grants, loans, and cooperative agreements) and that all subrecipients shall certify and disclose accordingly. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by section 1352, title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. The Contractor, H8WW1 Wand CO" M 'ih "e"h CAWftr , certifies or affirms the truthfulness and accuracy of each statement of its certification and disclosure, if any. In addition, the Contractor understands and agrees that the provisions of 31 U.S.C. Chap. 38, Administrative Remedies for False Claims and Statement*, apply to this certification and disclosure, if any. Signature of Contr4or's 4ul horized Official Richard Taaffe, CEO Name and Title of Contractor's Authorized Official 10/04/2024 Date Compliance and Reporting Guidance October 15, 2024 Version: 8.0 =T= U.S. DEPARTMENT OF THE TREASURY Coronavirus State and Local Fiscal Recovery Funds Guidance on Recipient Compliance and Reporting Responsibilities On March 11, 2021, the American Rescue Plan Act was signed into law, and established the Coronavirus State Fiscal Recovery Fund and Coronavirus Local Fiscal Recovery Fund, which together make up the Coronavirus State and Local Fiscal Recovery Funds ("SLFRF") program. This program is intended to provide support to State, territorial, local, and Tribal governments in responding to the economic and public health impacts of COVID-19 and in their efforts to contain impacts on their communities, residents, and businesses. In May 2021, Treasury published the 2021 interim final rule ("2021 IFR") describing eligible and ineligible uses of SLFRF, as well as other program requirements. The initial versions of this Compliance and Reporting guidance reflected the 2021 IFR and its eligible use categories. On January 6, 2022, the U.S. Department of the Treasury ("Treasury") adopted the 2022 final rule implementing the SLFRF program. The 2022 final rule became effective on April 1, 2022. Prior to the 2022 final rule effective date, the 2021 IFR remained in effect; funds used consistently with the 2021 IFR while it was in effect were in compliance with the SLFRF program. However, recipients could choose to take advantage of the 2022 final rule's flexibilities and simplifications ahead of the effective date. Recipients may consult the Statement Regarding Compliance with the Coronavirus State and Local Fiscal Recovery Funds Interim Final Rule and Final Rule for more information on compliance with the 2021 IFR and the 2022 final rule. On December 29, 2022, the Consolidated Appropriations Act, 2023 was enacted, amending the SLFRF program to provide additional flexibility for recipients to use SLFRF funds for three new eligible use categories. The 2023 interim final rule ("2023 IFR") was published in the federal register on September 20, 2023. The 2023 IFR became effective upon publication. In November 2023, Treasury issued an interim final rule (the "Obligation IFR") to amend the definition of "obligation" at 31 CFR 35.3 and to provide related clarifications. The Obligation IFR was published i'n the federal register on November 20, 2023. The Obligation IFR became effective upon publication. Treasury published additional guidance clarifying the provisions of the Obligation IFR on March 29, 2024 in Section 17: Obligation of the SLFRF FAQs. To support recipients in complying with the 2022 final rule, the 2023 IFR, and the Obligation IFR, this reporting guidance reflects the 2022 final rule, the 2023 IFR, the Obligation IFR, and subsequent guidance provided in FAQs. This guidance provides additional detail and clarification for each recipient's compliance and reporting responsibilities under the SLFRF program and should be read in concert with the Award Terms and Conditions, the authorizing statute, the 2022 final rule, the 2023 IFR, the Obligation IFR, other program guidance including the State and Local Fiscal Recovery Funds Frequently Asked Questions, and other regulatory and statutory requirements, including regulatory requirements under the Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards ("Uniform Guidance" or 2 CRF Part 200), and 2021 SLFRF Compliance Supplement — Technical Update, 2022 SLFRF Compliance Supplement, 2023 SLFRF Compliance Supplement, and 2024 SLFRF Compliance Supplement. Please see the Assistance .Listing in SAM.gov under assistance listing number (formerly known as the CFDA number) 21.027 for more information. Please Note: This guidance document applies to the SLFRF program only and does not change or impact reporting and compliance requirements for the Coronavirus Relief Fund ("CRF") established by the CARES Act. Coronavirus State and Local Fiscal Recovery Funds Compliance and Reporting Guidance i U.S. DEPARTMENT OF THE TREASURY This guidance includes two parts: Part 1: General Guidance This section provides an orientation to recipients' compliance responsibilities and Treasury's expectations and recommends best practices where appropriate under the SLFRF program. A. Key Principles....................................................................................... P. 4 B. Statutory Eligible Uses............................................................................ P. 4 C. Treasury's 2022 Final Rule, 2023 IFR, and Obligation IFR P. 5 .............................. D. Uniform Guidance (2 CFR Part 200)........................................................... P. 8 E. Award Terms and Conditions...................................................................... P. 13 Part 2: Reporting Requirements This section provides information on the reporting requirements for the SLFRF program. A. Interim Report ................................................................................. P. 18 B. Project and Expenditure Report................................................................. P. 19 C. Recovery Plan Performance Report ............................................................ P. 40 Appendix 1: Expenditure Categories................................................................... P. 48 Appendix 2: Evidenced -Based Intervention Additional Information ............................. P. 55 Appendix 3: Expenditure Categories under the 2021 Interim Final Rule ...................... P. 56 OMB Control Number: 1505-0271 OMB Expiration Date: 04/30/2025 PAPERWORK REDUCTION ACT NOTICE The information collected will be used for the U.S. Government to process requests for support. The estimated burden for the collections of information included in this guidance is as follows: 30 minutes for Title VI Assurances, 2 hours per response for the Interim Report, 6 hours per response for the Project and Expenditure Report and 100 hours per response for the Recovery Plan Performance Report (if applicable). Comments concerning the accuracy of this burden estimate and suggestions for reducing this burden should be directed to the Office of Privacy, Transparency and Records, Department of the Treasury, 1500 Pennsylvania Ave., N.W., Washington, D.C. 20220. DO NOT send the form to this address. An agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a valid control number assigned by OMB. Coronavirus State and Local Fiscal Recovery Funds Compliance and Reporting Guidance 3 0 U.S. DEPARTMENT OF THE TREASURY Part 1: General Guidance This section provides an orientation on recipients' compliance responsibilities and Treasury's expectations and recommended best practices where appropriate under the SLFRF program. Recipients under the SLFRF program are the eligible entities identified in sections 602 and 603 of the Social Security Act as added by section 9901 of the American Rescue Plan Act of 2021 (the "SLFRF statute") that receive an SLFRF award. Subrecipients under the SLFRF program are entities that receive a subaward from a recipient to carry out the purposes (program or project) of the SLFRF award .on behalf of the recipient. Recipients are accountable to Treasury for oversight of their subrecipients in accordance with 2 CFR 200.332, including ensuring their subrecipients comply with the SLFRF statute, SLFRF Award Terms and Conditions, Treasury's 2021 IFR, 2022 final rule, 2023 IFR, Obligation IFR, other applicable federal statutes and regulations, and reporting requirements. A. Key Principles There are several guiding principles for developing your own effective compliance regimes: • Recipients and subrecipients are the first line of defense and responsible for ensuring the SLFRF award funds are not used for ineligible purposes,.and there is no fraud, waste, or abuse associated with their SLFRF award; • Many SLFRF-funded projects respond to the COVID-19 public health emergency' and meet urgent community needs. Swift and effective implementation is vital, and recipients must balance facilitating simple and rapid program access widely across the community and maintaining a robust documentation and compliance regime; • Treasury encourages recipients to use SLFRF-funded projects to advance shared interests and promote equitable delivery of government benefits and opportunities to underserved communities, as outlined in Executive Order 13985, On Advancing Racial Equity and Support for Underserved Communities Through the Federal Government; and • Transparency and public accountability for SLFRF award funds and use of such funds are critical to upholding program integrity and trust in all levels of government, and SLFRF award funds should be managed consistent with Administration guidance per Memorandum M-21-20 and Memorandum M-20-21. B. Statutory Eligible Uses As a recipient of an SLFRF award, your organization has substantial discretion to use the award funds in the ways that best suit the needs of your constituents — as long as such use fits into one of the following seven statutory categories: 1. To respond to the COVID-19 public health emergency or its negative economic impacts; 2. To respond to workers performing essential work during the COVID-19 public health emergency by providing premium pay to eligible workers of the recipient that are performing such essential work, or by providing grants to eligible employers that have eligible workers who perform essential work; 3. For the provision of government services, to the extent of the reduction in revenue of such 1 The SLFRF rule defines "COVID-19 public health emergency" as "the period beginning on January 27, 2020 and lasting until the termination of the national emergency concerning the COVID-19 outbreak declared pursuant to the National Emergencies Act." See 31 CFR 35.3. As discussed in FAQ 4.11, following the termination of the National Emergency on April 10, 2023, recipients generally may continue to make investments using their SLFRF funds without changes, with the exception of projects in the premium pay eligible use category. Please refer to FAQ 4.11 for more information. Coronavirus State and Local Fiscal Recovery Funds Compliance and Reporting Guidance m U.S. DEPARTMENT OF THE TREASURY recipient due to the COVID-19 public health emergency, relative to revenues collected in the most recent full fiscal year of the recipient prior to the emergency; 4. To make necessary investments in water, sewer, or broadband infrastructure; 5. To provide emergency relief from natural disasters or the negative economic impacts of natural disasters; 6. For projects eligible under the 26 surface transportation programs specified in the 2023 CAA (Surface Transportation projects); or 7. For projects eligible under Title I of the Housing and Community Development Act of 1974 (Title I projects). In addition, sections 602(c)(4) and 603(c)(5) of the Social Security Act, as amended by the Infrastructure Investment and Jobs Act, provide that SLFRF funds may be used for an authorized Bureau of Reclamation project for purposes of satisfying any non -Federal matching requirement required for the project. Treasury adopted the 2021 IFR in May 2021 and the 2022 final rule on January 6, 2022 to implement the first four eligible use categories and other restrictions on the use of funds under the SLFRF program. The 2022 final rule took effect on April 1, 2022, and the 2021 IFR remained in effect until that time, although recipients could choose to take advantage of the 2022 final rule's flexibilities and simplifications prior to April 1, 2022. Recipients may consult the Statement Regarding Compliance with the Coronavirus State and Local Fiscal Recovery Funds Interim Final Rule and Final Rule for more information on compliance with the 2021 IFR and the 2022 final rule. On December 29, 2022, the Consolidated Appropriations Act, 2023 was enacted, amending the SLFRF program to provide additional flexibility for recipients to use SLFRF funds for three new eligible use categories. The 2023 IFR was published in the Federal Register on September 20, 2023 and became effective upon publication. The Obligation IFR was published in the Federal Register on November 20, 2023 and became effective upon publication. It is the recipient's responsibility to ensure all SLFRF award funds are used in compliance with the program's requirements. In addition, recipients should be mindful of any additional compliance obligations that may apply — for example, additional restrictions imposed upon other sources of funds used in conjunction with SLFRF award funds, or statutes and regulations that may independently apply to water, broadband, and sewer infrastructure projects. Recipients should ensure they maintain proper documentation supporting determinations of costs and applicable compliance requirements, and how they have been satisfied as part of their award management, internal controls, and subrecipient oversight and management. C. Treasury's 2022 Final Rule, 2023 IFR, and Obligation IFR Treasury's 2022 final rule, 2023 IFR, and Obligation IFR detail recipients' compliance responsibilities and provide additional information on eligible and restricted uses of SLFRF award funds and reporting requirements. 1. Eligible and Restricted Uses of SLFRF Funds. As described in the SLFRF statute and summarized above, there are seven eligible uses of SLFRF award funds. As a recipient of an award under the SLFRF program, your organization is responsible for complying with requirements for the use of funds. In addition to determining a given project's eligibility, recipients are also responsible for determining subrecipients' or beneficiaries' eligibility, and must monitor subrecipients' use of SLFRF award funds. To help recipients build a greater understanding of eligible uses, Treasury's 2022 final rule and 2023 IFR establish frameworks for determining whether a specific project would be eligible under Coronavirus State and Local Fiscal Recovery Funds Compliance and Reporting Guidance 0U.S. DEPARTMENT OF THE TREASURY the SLFRF program, including some helpful definitions. For example, Treasury's 2022 final rule and 2023 IFR establish: • A framework for determining whether a project responds to the COVID-19 public health emergency or its negative economic impacts; • Definitions of "eligible employers," "essential work," "eligible workers," and "premium pay" for cases where premium pay is an eligible use; • The option to select between a standard amount of revenue loss or complete a full revenue loss calculation of revenue lost due to the COVID-19 public health emergency; • A framework for necessary water and sewer infrastructure projects -that aligns eligible uses with projects that are eligible under the Environmental Protection Agency's Drinking Water and Clean Water State Revolving Funds along with certain additional projects, including a wider set of lead remediation and stormwater infrastructure projects and aid for residential wells; • A framework for necessary broadband projects that allows for projects that are designed to provide service of sufficient speeds to eligible areas, as well as an affordability requirement for providers that provide service to households; • A framework for determining how to provide emergency relief from a natural disaster; • Three pathways for using SLFRF funds for Surface Transportation projects; and • A list of eligible Title I projects by reference to the activities that are eligible under the Community Development Block Program. Treasury's 2022 final rule also provides more information on important restrictions on use of SLFRF award funds, including that recipients other than Tribal governments may not deposit SLFRF funds into a pension fund; and recipients that are States or territories may not use SLFRF funds to offset a reduction in net tax revenue resulting from the recipient's change in law, regulation, or administrative interpretation. In addition, recipients may not use SLFRF funds directly to service debt, satisfy a judgment or settlement, or contribute to a "rainy day" fund. Recipients should refer to Treasury's 2022 final rule for more information on these restrictions and to the 2023 IFR for how these restrictions apply to the eligible uses added by the Consolidated Appropriations Act, 2023. Treasury's 2022 final rule outlines that funds available under the "revenue loss" eligible use category (sections 602(c)(1)(C) and 603(c)(1)(C) of the Social Security Act) generally may be used to meet the non-federal cost -share or matching requirements of other federal programs. However, the 2022 final rule notes that SLFRF funds may not be used as the non-federal share for purposes of a state's Medicaid and CHIP programs because the Office of Management and Budget ("OMB") has approved a waiver as requested by the Centers for Medicare & Medicaid Services pursuant to 2 CFR 200.102 of the Uniform Guidance and related regulations. If a recipient seeks to use SLFRF funds to satisfy match or cost -share requirements for a federal grant program, it should first confirm with the relevant awarding agency that no waiver has been granted for that program, that no other circumstances enumerated under 2 CFR 200.306(b) would limit the use of SLFRF funds to meet the match or cost -share requirement, and that there is no other statutory or regulatory impediment to using the SLFRF funds for the match or cost -share requirement. Treasury's 2023 IFR outlines that under the Surface Transportation projects eligible use category, recipients may use SLFRF funds to satisfy non-federal cost share requirements for certain programs under Pathway Three. In addition, under the Title I projects eligible use category, recipients may use SLFRF funds to satisfy the non-federal share requirements of a federal financial assistance program in support of activities that would be eligible under the CDBG and ICDBG programs. SLFRF funds beyond those that are available under the circumstances described above may not be used to meet the non-federal match or cost -share requirements of other federal programs, other than as specifically provided for by statute. For example, the Infrastructure Investment and Coronavirus State and Local Fiscal Recovery Funds Compliance and Reporting Guidance c" I ' U.S. DEPARTMENT OF THE TREASURY Jobs Act provides that SLFRF funds may be used to meet the non-federal match requirements of authorized Bureau of Reclamation projects and certain broadband deployment projects. Treasury's 2023 IFR describes the additional statutory restrictions that apply to the Surface Transportation projects and Title I projects eligible use categories. First, the total amount of SLFRF funds that a recipient may use for Surface Transportation projects and Title I projects, taken together, cannot exceed the greater of $10 million and 30% of a recipient's SLFRF allocation. Second, recipients using SLFRF funds for Surface Transportation projects and Title I projects must supplement, and not supplant, other federal, state, territorial, Tribal, and local government funds (as applicable) otherwise available for such uses. For the Surface Transportation projects eligible use category, recipients using funds for projects eligible for Urbanized Formula Grants, Fixed Guideway Capital Investment Grants, Formula Grants for Rural Areas, State of Good Repair Grants, or Grants for Buses and Bus Facilities may not use SLFRF funds for operating expenses of these projects. 2. Eligible Costs Timeframe. For eligible use categories described in the 2022 final rule, your organization, as a recipient of an SLFRF award, may use SLFRF funds to cover eligible costs that your organization incurred during the period that begins on March 3, 2021 and ends on December 31, 2024, as long as the award funds for the obligations incurred by December 31, 2024 are expended by December 31, 2026. Costs incurred for projects by the recipient State, territorial, local, or Tribal government prior to March 3, 2021 are not eligible, as provided for in Treasury's 2022 final rule. For eligible use categories described in the 2023 IFR, recipients may use SLFRF funds for the three new eligible uses for costs incurred beginning December 29, 2022. Consistent with the existing eligible uses, recipients must obligate SLFRF funds for the new eligible uses by December 31, 2024. Recipients must expend SLFRF funds obligated to provide emergency relief from natural disasters by December 31, 2026. Recipients must expend SLFRF funds obligated for Surface Transportation projects and Title I projects by September 30, 2026. Costs for projects described in the 2023 IFR that are incurred by the recipient State, territorial, local, or Tribal government prior to December 29, 2022 are not eligible under these three eligible use categories. Recipients may, in certain circumstances, use SLFRF award funds for the eligible use categories described in Treasury's 2022 final rule for costs incurred prior to March 3, 2021 Specifically, a. Public Health/Negative Economic Impacts: Recipients may use SLFRF award funds to provide assistance to households, small businesses, and nonprofits to respond to the public health emergency or negative economic impacts of the pandemic — such as rent, mortgage, or utility assistance — for costs incurred by the beneficiary (e.g., a household) prior to March 3, 2021, provided that the recipient State, territorial, local or Tribal government did not incur the cost of providing such assistance prior to March 3, 2021. b. Premium Pay: Recipients may provide premium pay retrospectively for work performed at any time during the COVID-19 public health emergency. Such premium pay must be "in addition to" wages and remuneration already received and the obligation to provide such premium pay must not have been incurred by the recipient prior to March 3, 2021. c. Revenue Loss: Recipients have broad discretion to use funds for the provision of government services to the extent of reduction in revenue. While calculation of lost revenue is based on the recipient's revenue in the last full fiscal year prior to the COVID-19 public health emergency, use of funds for government services must be forward looking for costs incurred by the recipient after March 3, 2021. As with all other eligible uses, funds expended under the revenue loss eligible use category are subject to the obligation requirements. See FAQ 17.15. d. Investments in Water, Sewer, and Broadband: Recipients may use SLFRF award funds to make necessary investments in water, sewer, and broadband infrastructure. Recipients may Coronavirus State and Local Fiscal Recovery Funds Compliance and Reporting Guidance 0 U.S. DEPARTMENT OF THE TREASURY use SLFRF award funds to cover costs incurred for eligible projects planned or started prior to March 3, 2021, provided that the project costs covered by the SLFRF award funds were not incurred by the recipient prior to March 3, 2021. Any funds not obligated or expended for eligible uses by the timelines above must be returned to Treasury, including any unobligated or unexpended funds that have been provided to subrecipients and contractors as part of the award closeout process pursuant to 2 C.F.R. 200.344(d). For the purposes of determining expenditure eligibility, "incurred" means the recipient has incurred an obligation. See 31 CFR 35.3 and 35.5(b). As discussed in FAQ 17.19, after the December 31, 2024 obligation deadline, recipients may have excess funds that were obligated as of the deadline but ultimately not expended on an eligible activity. While recipients may not incur new obligations for the use of SLFRF funds after December 31, 2024, recipients may reclassify SLFRF funds from a reported activity to another project that would be eligible under the program rules (including the requirement that the recipient incurred an obligation for the project by December 31, 2024), regardless of whether those project(s) were reported to Treasury by the obligation deadline. Treasury will add new functionalities in the January 31, 2025 Project & Expenditure Report to enable recipients to add and reclassify funds to project(s) for which an obligation was incurred by December 31, 2024. 3. Reporting. Generally, recipients must submit one initial Interim Report, quarterly or annual Project and Expenditure reports which include subaward reporting, and in some cases annual Recovery Plan reports. Treasury's 2022 final rule, 2023 IFR, Obligation IFR, and Part 2 of this guidance provide more detail around SLFRF reporting requirements. 4. Expenditure Categories. Treasury's 2022 final rule provides flexibility and simplicity for recipients to fight the pandemic and support families and businesses struggling with its impacts, maintain vital services amid revenue shortfalls, and build a strong, resilient, and equitable recovery. As such, recipients report on a broad set of eligible uses and associated Expenditure Categories ("EC"), which began with the April 2022 Project and Expenditure Report. Appendix 1 includes the ECs, as well as a reference to previous ECs used for reporting under the 2021 IFR. The 2023 IFR implements the amendments to the SLFRF program made by the Consolidated Appropriations Act, 2023, which provides additional flexibility for recipients to use SLFRF funds to respond to natural disasters, build critical infrastructure, and support community development. The additional ECs associated with the 2023 IFR began with the October 2023 Project and Expenditure Report. These ECs also may be found in Appendix 1. Coronavirus State and Local Fiscal Recovery Funds Compliance and Reporting Guidance =' = U.S. DEPARTMENT OF THE TREASURY Assistance Listing The Assistance Listinq for the Coronavirus State and Local Fiscal Recovery Funds (SLFRF) was published May 28, 2021 on SAM.gov under Assistance Listing Number ("ALN"), formerly known as CFDA Number, 21.027. The assistance listing includes helpful information including program purpose, statutory authority, eligibility requirements, and compliance requirements for recipients. The ALN is the unique 5-digit number assigned to identify a federal assistance listing, and can be used to search for federal assistance program information, including funding opportunities, spending on USASpending.gov, or audit results through the Federal Audit Clearinghouse. To expedite payments and meet statutory timelines Treasury issued initial payments under an existing ALN, 21.019, assigned to the CRF. If you have already received funds or captured the initial number in your records, please update your systems and reporting to reflect the new ALN 21.027 for the SLFRF program. Recipients must use ALN 21.027 for all financial accounting, subawards, and associated program reporting requirements for the SLFRF awards. D. Uniform Administrative Requirements The SLFRF awards are generally subject to the requirements set forth in the Uniform Guidance. In all instances, your organization should review the Uniform Guidance requirements applicable to your organization's use of SLFRF funds, and SLFRF-funded projects. Additional details about applicability of certain provisions of the Uniform Guidance may be found in: • SLFRF 2022 final rule; • SLFRF Assistance Listing; • SLFRF FAQs, including FAQ 4.9, 10.1, and Section 13; and • SLFRF 2023 IFR. The following sections provide a general summary of your organization's compliance responsibilities under applicable statutes and regulations, including the Uniform Guidance, as described in the most recent compliance supplement issued by OMB. Note that the descriptions below are only general summaries and all recipients and subrecipients are advised to carefully review the Uniform Guidance requirements and any additional regulatory and statutory requirements applicable to the program. 1. Allowable Activities. Each recipient should review program requirements, including Treasury's 2022 final rule, 2023 IFR, Obligation IFR, SLFRF FAQs, and the recipient's Award Terms and Conditions, to determine and record eligible uses of SLFRF funds. Per 2 CFR 200.303, your organization must develop and implement effective internal controls to ensure that funding decisions under the SLFRF award constitute eligible uses of funds, and document determinations. 2. Allowable Costs/Cost Principles. As outlined in the Uniform Guidance at 2 CFR Part 200, Subpart E regarding Cost Principles, allowable costs are based on the premise that a recipient is responsible for the effective administration of Federal awards, application of sound management practices, and administration of Federal funds in a manner consistent with the program objectives and terms and conditions of the award. Recipients must implement robust internal controls and effective monitoring to ensure compliance with the Cost Principles, which are important for building trust and accountability. Please note that as outlined in FAQ 13.15, only a subset of the Uniform Guidance requirements at 2. CFR Part 200 Subpart E (Cost Principles) applies to recipients' use of funds in the revenue loss eligible use category. SLFRF funds may be, but are not required to be, used along with other funding sources for a given Coronavirus State and Local Fiscal Recovery Funds Compliance and Reporting Guidance = U.S. DEPARTMENT OF THE TREASURY project. Recipients should note that SLFRF funds available under the "revenue loss" eligible use category generally may be used to meet the non-federal cost -share or matching requirements of other federal programs. If a recipient seeks to use SLFRF funds to satisfy match or cost -share requirements for a federal grant program, the recipient should first confirm with the relevant awarding agency that no waiver has been granted for that program, that no other circumstances enumerated under 2 CFR 200.306(b) would limit the use of SLFRF funds to meet the match or cost -share requirement, and that there is no other statutory or regulatory impediment to using the SLFRF funds for the match or cost -share requirement. For instance, recipients should note that SLFRF funds may not be used as the non-federal share for purposes of a state's Medicaid and CHIP programs because OMB has approved a waiver from this provision as requested by the Centers for Medicare & Medicaid Services pursuant to 2 CFR 200.102 of the Uniform Guidance and related regulations. Treasury's 2023 IFR outlines that under the Surface Transportation projects eligible use category, recipients may use SLFRF funds to satisfy non-federal cost share requirements for certain programs under Pathway Three. In addition, under the Title I projects eligible use category, recipients may use SLFRF funds to satisfy the non-federal share requirements of a federal financial assistance program in support of activities that would be eligible under the CDBG and ICDBG programs. SLFRF funds beyond those that are available under the circumstances described above may not be used to meet the non-federal match or cost -share requirements of other federal programs, other than as specifically provided for by statute. As an example, the Infrastructure Investment and Jobs Act provides that SLFRF funds may be used to meet the non-federal match requirements of authorized Bureau of Reclamation projects and certain broadband deployment projects. Recipients should consult the 2022 final rule for further details if they seek to utilize SLFRF funds as a match for these projects. Treasury's 2022 final rule, 2023 IFR, program guidance, and the Uniform Guidance outline the types of costs that are allowable, including certain audit costs. For example, per 2 CFR 200.425, a reasonably proportionate share of the costs of audits required by the Single Audit Act Amendments of 1996 are allowable; however, costs for audits that were not performed in accordance with 2 CFR Part 200, Subpart F and the Compliance Supplement are not allowable. Please see 2 CFR Part 200, Subpart E regarding the Cost Principles for more information. a. Administrative costs: Recipients may use funds for administering the SLFRF program, including costs of consultants to support effective management and oversight, including consultation for ensuring compliance with legal, regulatory, and other requirements .2 Further, costs must be reasonable and allocable as outlined in 2 CFR 200.404 and 2 CFR 200.405. Pursuant to the SLFRF Award Terms and Conditions, recipients are permitted to charge both direct and indirect costs to their SLFRF award as administrative costs as long as they are accorded consistent treatment per 2 CFR 200.403. Direct costs are those that are identified specifically as costs of implementing the SLFRF program objectives, such as contract support, materials, and supplies for a project. Indirect costs are general overhead costs of an organization where a portion of such costs are allocable to the SLFRF award such as the cost of facilities or administrative functions like a director's office.34 Each category of cost should be treated consistently in like circumstances as direct or indirect, and recipients may not charge the same administrative costs to both direct and indirect cost categories, or to other programs. If a recipient has a current Negotiated Indirect Costs Rate 2 Recipients also may use SLFRF funds directly for administrative costs to improve the design and execution of programs responding to the COVID-19 pandemic and to administer or improve the efficacy of programs addressing the public health emergency or its negative economic impacts. 31 CFR 35.6(b)(3)(ii)(E)(3). 3 2 CFR 200.413 Direct Costs. 4 2 CFR 200.414 Indirect Costs. Coronavirus State and Local Fiscal Recovery Funds Compliance and Reporting Guidance 10 i": U.S. DEPARTMENT OF THE TREASURY Agreement ("NICRA") established with a Federal cognizant agency responsible for reviewing, negotiating, and approving cost allocation plans or indirect cost proposals, then the recipient may use its current NICRA. Alternatively, if the recipient does not have a NICRA, the recipient may elect to use the de minimis rate of 10 percent of the modified total direct costs pursuant to 2 CFR 200.414(f). Both direct and indirect costs may be obligated via a subaward, contract, or similar transaction that requires payment, including an interagency agreement that meets the requirements described in FAQ 17.6. b. Salaries and Expenses: In general, certain employees' wages, salaries, and covered benefits are an eligible use of SLFRF award funds. Please see Treasury's 2022 final rule for details. 3. Cash Management. SLFRF payments made to recipients are not subject to the requirements of the Cash Management Improvement Act and Treasury's implementing regulations at 31 CFR Part 205 or 2 CFR 200.305(b)(8)-(9). As such, recipients can place funds in interest -bearing accounts, do not need to remit interest to Treasury, and are not limited to using that interest for eligible uses under the SLFRF award. 4. Eligibility and Unique Entity Identifier Requirements. Under the SLFRF program, recipients are responsible for ensuring that award funds are used for eligible purposes. Accordingly, recipients must develop and implement policies and procedures, and retain records, to determine and monitor implementation of criteria for determining the eligibility of beneficiaries and/or subrecipients. Your organization, and if applicable, the subrecipient(s) administering a program on behalf of your organization, will need to develop and maintain procedures for obtaining information evidencing a given beneficiary's, subrecipient's, or contractor's eligibility, including ensuring subrecipients and contractors are in good standing in accordance with 2 CFR 200.214 and 2 CFR Part 200, Appendix II, paragraph (H). Further, recipients and subrecipients are required to obtain a valid Unique Entity Identifier (UEI), which is assigned by SAM.gov. Pursuant to the award term regarding 2 CFR Part 25, Appendix A, which is incorporated by reference in the SLFRF Financial Assistance Agreement, recipients are required to maintain current information in SAM.gov for the duration of the period of performance of the SLFRF award. A recipient may not make a subaward to a subrecipient unless that subrecipient has obtained and provided to the recipient a UEI. Subrecipients are not required to complete full SAM.gov registration to obtain a UEI. A UEI is not required with respect to beneficiaries and contractors. Implementing risk -based due diligence for eligibility determinations is a best practice to augment your organization's existing controls. As discussed in item 11 below, recipients may obligate SLFRF funds by entering into an interagency agreement with a unit of government, and may choose to treat that unit of government as a subrecipient. If a recipient chooses to treat the counterparty to the interagency agreement as a subrecipient, then the recipient must also provide a UEI for that entity. If a recipient chooses to treat the counterparty as a part of the recipient government, the recipient is not required to provide a UEI for that entity. 5. Property Management. Any purchase of real or personal property with SLFRF funds must be consistent with the Uniform Guidance at 2 CFR Part 200, Subpart D, unless stated otherwise by Treasury. For example, as outlined in FAQ 13.15, only a subset of the Uniform Guidance requirements at 2 CFR Part 200 Subpart D (Post Federal Award Requirements) applies to recipients' use of funds in the revenue loss eligible use category. Furthermore, as outlined in FAQ 13.16, Treasury has clarified the use and disposition requirements for real and personal property, supplies, and equipment purchased with SLFRF funds. Coronavirus State and Local Fiscal Recovery Funds Compliance and Reporting Guidance 11 0 U.S. DEPARTMENT OF THE TREASURY 6. Matching, Level of Effort, Earmarking. There are no matching, level of effort, or earmarking compliance responsibilities associated with the SLFRF award. See Section C.1 (Eligible and Restricted Uses of SLFRF Funds) for a discussion of restrictions on use of SLFRF funds. Please see 2. Allowable Costs/Cost Principles above for information on the use of SLFRF funds for non - Federal match or cost -sharing requirements in other Federal programs. 7. Period of Performance. Your organization should also develop and implement internal controls related to activities occurring outside the period of performance. For eligible uses under the 2022 final rule, all funds remain subject to statutory and regulatory requirements that they must be used for costs incurred by the recipient during the period that begins on March 3, 2021, and ends on December 31, 2024, and that award funds for the financial obligations incurred by December 31, 2024 must be expended by December 31, 2026. For eligible uses under the 2023 IFR, recipients may use SLFRF funds for costs incurred beginning December 29, 2022. Consistent with the existing eligible uses, recipients must obligate SLFRF funds for the new eligible uses by December 31, 2024. Recipients must expend SLFRF funds obligated to provide emergency relief from natural disasters by December 31, 2026. Recipients must expend SLFRF funds obligated for Surface Transportation projects and Title I projects by September 30, 2026. Any funds not expended must be returned to Treasury as part of the award closeout process pursuant to 2 C.F. R. 200.344(d). 8. Procurement, Suspension & Debarment. Recipients are responsible for ensuring that any procurement using SLFRF funds, or payments under procurement contracts using such funds, are consistent with the procurement standards set forth in the Uniform Guidance at 2 CFR 200.317 through 2 CFR 200.327, unless stated otherwise by Treasury. As outlined in FAQ 13.15, only a subset of the Uniform Guidance requirements at 2 CFR Part 200 Subpart D (Post Federal Award Requirements) applies to recipients' use of funds in the revenue loss eligible use category. The procurement standards set forth in the Uniform Guidance at 2 CRF 200.317 through 2 CRF 200.327 are not included in FAQ 13.15's list of applicable Subpart D requirements that apply to recipients' use of funds in the revenue loss eligible use category. The Uniform Guidance establishes in 2 CFR 200.319 that all procurement transactions for property or services must be conducted in a manner providing full and open competition, consistent with standards outlined in 2 CFR 200.320, which allows for non-competitive procurements only in certain circumstances. Recipients must have and use documented procurement procedures that are consistent with the standards outlined in 2 CFR 200.317 through 2 CFR 200.320. In addition, the Uniform Guidance at 2 CFR 200.214, 2 CFR Part 180, and Treasury's implementing regulations at 31 CFR Part 19, prohibit recipients from entering into contracts with suspended or debarred parties. The procurement standards outlined in the Uniform Guidance require an infrastructure for competitive bidding and contractor oversight, including maintaining written standards of conduct. Your organization must ensure adherence to all applicable local, State, and federal procurement laws and regulations. 9. Program Income. Generally, program income includes, but is not limited to, income from fees for services performed, the use or rental of real or personal property acquired under Federal awards, and principal and interest on loans made with Federal award funds. Program income does not include interest earned on advances of Federal funds, rebates, credits, discounts, or interest on rebates, credits, or discounts. Recipients of SLFRF funds should calculate, document, and record the organization's program income. Additional controls that your organization should implement include written policies that explicitly identify appropriate allocation methods, accounting standards and principles, compliance monitoring checks for program income calculations, and records. As discussed in SLFRF FAQ 17.21, program income includes that which is earned between the December 31, 2024, obligation deadline and the end of the period of performance on December Coronavirus State and Local Fiscal Recovery Funds Compliance and Reporting Guidance 12 0U.S. DEPARTMENT OF THE TREASURY 31, 2026. As with all award funds, such program income may only be used to cover an obligation that was incurred by December 31, 2024. The Uniform Guidance outlines the requirements that pertain to program income at 2 CFR 200.307. Treasury has clarified in its FAQs that recipients may add program income to the Federal award. Any program income generated from SLFRF funds must be used for the purposes and under the conditions of the Federal award. Further, FAQ 4.9 provides additional information about program income requirements applicable to certain eligible uses, and FAQ 13.15 clarifies that only a subset of the Uniform Guidance requirements at 2 CFR 200 Subpart D (Post Federal Award Requirements) applies to recipients' use of funds in the revenue loss eligible use category. The list of applicable Subpart D requirements in FAQ 13.15 does not include the program income requirements in 2 CFR 200.307. 10. Reporting. All recipients of federal funds must complete financial, performance, and compliance reporting as required and outlined in Part 2 of this guidance. Expenditures may be reported on a cash or accrual basis, as long as the methodology is disclosed and consistently applied. Reporting must be consistent with the definition of expenditures pursuant to 2 CFR 200.1. Your organization should appropriately maintain accounting records for compiling and reporting accurate, compliant financial data, in accordance with appropriate accounting standards and principles. In addition, where appropriate, your organization needs to establish controls to ensure completion and timely submission of all mandatory performance and/or compliance reporting. See Part 2 of this guidance for a full overview of recipient reporting responsibilities. Consolidated jurisdictions or other types of jurisdictions that received multiple SLFRF allocations (e.g., a county and city with a consolidated government) are only required to file once per reporting period, and such reports will cover the total SLFRF allocations received by the jurisdiction. This includes non -entitlement units of local government ("NEUs") and/or units of general local government located within counties that are not units of general local government. In addition, the total SLFRF allocations across all sources for a given jurisdiction will be used to identify that jurisdiction's Reporting Tier. 11. Subrecipient Monitoring. SLFRF recipients that are pass -through entities as described under 2 CFR 200.1 are required to manage and monitor their subrecipients to ensure compliance with requirements of the SLFRF award pursuant to 2 CFR 200.332 regarding requirements for pass - through entities. First, your organization must clearly identify to the subrecipient: (1) that the award is a subaward of SLFRF funds; (2) any and all compliance requirements for use of SLFRF funds; and (3) any and all reporting requirements for expenditures of SLFRF funds. Next, your organization will need to evaluate each subrecipient's risk of noncompliance based on a set of common factors. These risk assessments may include factors such as prior experience in managing Federal funds, previous audits, personnel, and policies or procedures for award execution and oversight. Ongoing monitoring of any given subrecipient should reflect its assessed risk and include monitoring, identification of deficiencies, and follow-up to ensure appropriate remediation. Accordingly, your organization should develop written policies and procedures for subrecipient monitoring and risk assessment and maintain records of all award agreements identifying or otherwise documenting subrecipients' compliance obligations. Recipients should note that NEUs are not subrecipients under the SLFRF program. They are SLFRF recipients that report directly to Treasury. Coronavirus State and Local Fiscal Recovery Funds Compliance and Reporting Guidance 13 0 U.S. DEPARTMENT OF THE TREASURY Recipients should also note that subrecipients do not include individuals and organizations that received SLFRF funds as end users. Such individuals and organizations are beneficiaries and not subject to audit pursuant to the Single Audit Act and 2 C.F.R. Part 200, Subpart F. Many recipients may choose to provide a subaward or contract to other entities to provide services to other end users. For example, a recipient may provide a subaward to a nonprofit to provide homeless services to individuals experiencing homelessness. In this case, the subaward to a nonprofit is based on the services that the recipient intends to provide (assistance to households experiencing homelessness), and the nonprofit is serving as the subrecipient, providing services on behalf of the recipient. Subrecipients are subject to an audit pursuant to the Single Audit Act and 2 CFR part 200, subpart F regarding audit requirements, whereas contractors are not subject to an audit pursuant to the Single Audit Act and 2 CFR part 200, subpart F regarding audit requirements. Please note that as outlined in FAQ 13.14, recipients' use of funds in the revenue loss eligible use category does not give rise to subrecipient relationships. As a result, subaward reporting is- not required for projects in the revenue loss eligible use category. While there is no federal program or purpose to carry out in the same way that there is for the other SLFRF expenditure categories, these funds retain their federal character and recipients remain subject to laws and regulations applicable to Federal financial assistance programs. As discussed in SLFRF FAQ 17.6, Treasury considers an interagency agreement, including an agreement in the form of a memorandum of understanding, to constitute a "transaction requiring payment" similar to a contract or subaward and therefore an obligation for purposes of the SLFRF rule, if the agreement satisfies certain conditions. If a recipient has not yet provided funds to a unit of its government and would like to do so for that unit to carry out an eligible project and count as an obligation, the recipient may do so under FAQ 17.6. If a recipient previously entered into an agreement with a unit of its government and reported that arrangement as a subaward, then the recipient may maintain that treatment or revise its reporting to reflect an interagency agreement, as long as the requirements of FAQ 17.6 are met. If the recipient is reporting the arrangement as a subaward, the recipient should note that the subrecipient monitoring and other requirements applicable to subawards at 2 CFR Part 200 continue to apply. In either case, the use of funds must be appropriately managed and overseen in accordance with the program's award terms and conditions, including the requirements at 2 CFR 200.329 or 2 CFR 200.331, as applicable. If a recipient obligates funds via an interagency agreement with an agency, department, or part of government according to the provisions described in FAQ 17.6 or 17.23, that agency, department, or part of government may itself enter into subawards and contracts. Because the interagency agreement is considered an obligation, the obligation deadline does not apply to that agency, department, or part of government. 12. Special Tests and Provisions. From time -to -time, Treasury may issue subregulatory guidance as well as frequently asked questions. Across each of the compliance requirements above, Treasury has described some best practices for development of internal controls in Table 1 below, with an example of each best practice. Coronavirus State and Local Fiscal Recovery Funds Compliance and Reporting Guidance 14 0 U.S. DEPARTMENT OF THE TREASURY Table 1: Internal controls best practices ' B • • Written policies and Formal documentation of Documented procedure for procedures recipient policies and determining worker eligibility procedures for premium pay Written standards of Formal statement of Documented code of conduct mission, values, principles, conduct / ethics for and professional standards subcontractors Risk -based due diligence Pre -payment validations Enhanced eligibility review conducted according to an of subrecipient with assessed level of risk imperfect performance history Risk -based compliance Ongoing validations Higher degree of monitoring monitoring conducted according to an for projects that have a assessed level of risk higher risk of fraud, given ro ram characteristics Record maintenance and Creation and storage of Storage of all subrecipient retention financial and non -financial payment information. records. E. Award Terms and Conditions The Award Terms and Conditions of the SLFRF financial assistance agreement sets forth the compliance obligations for recipients pursuant to the SLFRF statute, the Uniform Guidance, Treasury's 2022 final rule, 2023 IFR, the Obligation IFR, and other applicable federal laws and regulations. Recipients should ensure they remain in compliance with all Award Terms and Conditions. These obligations include the following items in addition to those described above: 1. SAM.gov Requirements. All eligible recipients are required to have an active registration with the System for Award Management ("SAM") (https://www.sam..qov) pursuant to 2 CFR Part 25. To ensure timely receipt of funding, Treasury has stated that NEUs who have not previously registered with SAM.gov may do so after receipt of the award, but before the submission of mandatory reporting.5 2. Record keeping Requirements. Generally, your organization must maintain records and financial documents for five years after all funds have been expended or returned to Treasury, as outlined in paragraph 4.c. of the Award Terms and Conditions. Treasury may request transfer of records of long-term value at the end of such period. Wherever practicable, such records should be collected, transmitted, and stored in open and machine-readable formats. Your organization must agree to provide or make available such records to Treasury upon request, and to the Government Accountability Office ("GAO"), Treasury's Office of Inspector General ("OIG"), and their authorized representative in order to conduct audits or other investigations. 3. Single Audit Requirements. Recipients and subrecipients that expend more than $750,000 in Federal awards during their fiscal year will be subject to an audit under the Single Audit Act and its implementing regulation at 2 CFR Part 200, Subpart F regarding audit requirements.' Note that the Compliance Supplement provides information on the existing, important compliance requirements that the federal government expects to be considered as a part of such audit. For example, the SLFRF Compliance Supplement describes an alternative to the Single Audit for 5 See flexibility provided in https://www.whitehouse.gov/wp-content/uploads/2021/03/M_21_20.pdf. 3 For -profit entities that receive SLFRF subawards are not subject to Single Audit requirements. However, they are subject to other audits as deemed necessary by authorized governmental entities, including Treasury and Treasury's OIG. Coronavirus State and Local Fiscal Recovery Funds Compliance and Reporting Guidance 15 0 U.S. DEPARTMENT OF THE TREASURY eligible recipients. Recipients should consult the Compliance Supplement for more information about the alternative compliance examination engagement. The Compliance Supplement is routinely updated, and is made available in the Federal Register and on OMB's website: https://www.whitehouse.gov/omb/office-federal-financial-management/ Recipients and subrecipients should consult the Federal Audit Clearinghouse to see examples of Single Audit submissions. 4. Civil Rights Compliance. Recipients of Federal financial assistance from the Treasury are required to meet legal requirements relating to nondiscrimination and nondiscriminatory use of Federal funds. Those requirements include ensuring that entities receiving Federal financial assistance from the Treasury do not deny benefits or services, or otherwise discriminate on the basis of race, color, national origin (including limited English proficiency), disability, age, or sex (including sexual orientation and gender identity), in accordance with the following authorities: Title VI of the Civil Rights Act of 1964 (Title VI) Public Law 88-352, 42 U.S.C. 2000d-1 et seq., and the Department's implementing regulations, 31 CFR part 22; Section 504 of the Rehabilitation Act of 1973 (Section 504), Public Law 93-112, as amended by Public Law 93-516, 29 U.S.C. 794; Title IX of the Education Amendments of 1972 (Title IX), 20 U.S.C. 1681 et seq., and the Department's implementing regulations, 31 CFR part 28; Age Discrimination Act of 1975, Public Law 94-135, 42 U.S.C. 6101 et seq., and the Department implementing regulations at 31 CFR part 23. In order to carry out its enforcement responsibilities under Title VI of the Civil Rights Act, Treasury will collect and review information from recipients to ascertain their compliance with the applicable requirements before and after providing financial assistance. Treasury's implementing regulations, 31 CFR part 22, and the Department of Justice (DOJ) regulations, Coordination of Non-discrimination in Federally Assisted Programs, 28 CFR part 42, provide for the collection of data and information from recipients (see 28 CFR 42.406). Treasury may request that non -tribal recipients submit data for post -award compliance reviews, including information such as a narrative describing their Title VI compliance status. As explained in Treasury FAQ 12.1, the award terms and conditions for Treasury's pandemic recovery programs, including the SLFRF program, do not impose antidiscrimination requirements on Tribal governments beyond what would otherwise apply under federal law. Coronavirus State and Local Fiscal Recovery Funds Compliance and Reporting Guidance 16 0 U.S. DEPARTMENT OF THE TREASURY Part 2: Reporting Guidance There are three types of reporting requirements for the SLFRF program. The report requirements are approved and documented under OMB PRA number - OMB # 1505-0271. • Interim Report: Provide initial overview of status and uses of funding. This is a one-time report. See Section A, page 18. • Project and Expenditure Report: Report on projects funded, expenditures, and contracts and subawards equal to or greater than $50,000, and other information. See Section B, page 19. Recovery Plan Performance Report: The Recovery Plan Performance Report (the "Recovery Plan") will provide information on the projects that large recipients are undertaking with program funding and how they plan to ensure program outcomes are achieved in an effective, efficient, and equitable manner. It will include key performance indicators identified by the recipient and some mandatory indicators identified by Treasury. The Recovery Plan will be posted on the website of the recipient as well as provided to Treasury. See Section C, page 40. The reporting threshold is based on the total award amount allocated by Treasury under the SLFRF program, not the funds received by the recipient as of the time of reporting. States and territories are also required to submit information on their distributions to NEUs. Please refer to Section D for additional details. Coronavirus State and Local Fiscal Recovery Funds Compliance and Reporting Guidance 17 U.S. DEPARTMENT OF THE TREASURY Table 2: Reportina requirements by recipient tvpe �J Project and 'I Recovery: Plan 'Tier 1 Recipient Report11 Interim •sReport States,'U.S. territories, By August 31, By January 31, By August 31, metropolitan cities and 2021 or 60 2022, and then the 2021 or 60 days counties with a days after last day of the after receiving 1 population that exceeds receiving month after the end funding, and 250,000 residents funding if of each quarter annually funding was thereafter thereafter by received by October 15, Note: NEUs were July 31 Metropolitan cities and counties with a with not required to 2 population below expenditures by submit a Project 250,000 residents that category. and Expenditure are allocated more than Report on January $10 million in. SLFRF Note: NEUs 31, 2022. The first funding, and NEUs that were not reporting date for are allocated more than required to NEUs was April 30, $10 million in SLFRF submit an 2022. funding Interim Report Tribal Governments that 3 are allocated more than $30 million in SLFRF funding Tribal Governments that By April 30, 2022, 4 are allocated less than and then annually $30 million in SLFRF thereafter funding, Metropolitan cities and counties with a 5 population below 250,000 residents that are allocated less than $10 million in SLFRF funding, and NEUs that are allocated less than $10 million in SLFRF funding Note: Based on the period of performance, reports will be collected through April 30, 2027. See the specific due dates listed in Sections B and C. As mentioned above, the total SLFRF allocations across all sources for a given jurisdiction will be used to identify that jurisdiction's Reporting Tier, beginning in April of 2022. Treasury may reach out to jurisdictions to update Reporting Tiers. The remainder of this document describes these reporting requirements. User guides describing how and where to submit required reports are posted at www.treasury.gov/SLFRPReporting and updated ' on a regular basis. Coronavirus State and Local Fiscal Recovery Funds Compliance and Reporting Guidance 18 0 U.S. DEPARTMENT OF THETREASURY Comparison to reporting for the CRF This guidance does not change the reporting or compliance requirements pertaining to the CRF. Reporting and compliance requirements for the SLFRF are separate from CRF reporting requirements. Differences between CRF and SLFRF include: • Project, Expenditure, and Subaward Reporting: The SLFRF reporting requirements leverage the existing reporting regime used for CRF to foster continuity and provide many recipients with a familiar reporting mechanism. The data elements for the Project and, Expenditure Report will largely mirror those used for CRF, with some minor exceptions noted in this guidance. The users' guide will describe how reporting for CRF funds will relate to reporting for the SLFRF. • Timing of Reports: CRF reports were due within 10 days of each calendar quarter end. For quarterly reporters, SLFRF reporting will be due the last day of the month following the end of the period covered. For annual reporters, SLFRF reporting will be due on an annual schedule (see table in Section B below). • Program and Performance Reporting: The CRF reporting did not include any program or performance reporting. To build public awareness and accountability and allow Treasury to monitor compliance with eligible uses, some program and performance reporting is required for SLFRF. A. Interim Report , Note: The Interim Reports were submitted under the 2021 IFR. States, U.S. territories, metropolitan cities, counties, and Tribal governments were required to submit a one-time interim report with expenditures' by Expenditure Category covering the period from March 3rd to July 31, 2021, by August 31, 2021 or sixty (60) days after first receiving funding if the recipient's date of award was between July 15, 2021 and October 15, 2021. The recipient was required to enter obligations8 and expenditures and, for each, select the specific expenditure category from the available options. See Appendix 3 for Expenditure Categories applicable for the Interim Report. 1. Required Programmatic Data Recipients were also required to provide the following information if they had or planned to have expenditures in the following Expenditure Categories. a. Revenue replacement (EC 6.19): Key inputs into the revenue replacement formula in the 2021 IFR and estimated revenue loss due to the COVID-19 public health emergency calculated using the formula in the 2021 IFR as of December 31, 2020. • Base year general revenue (e.g., revenue in the last full fiscal year prior to the public health emergency) • Fiscal year end date • Growth adjustment used (either 4.1 percent or average annual general revenue growth over 3 years prior to pandemic) • Actual general revenue as of the twelve months ended December 31, 2020 For purposes of reporting in the SLFRF portal, an expenditure is the amount that has been incurred as a liability of the entity (the service has been rendered or the good has been delivered to the entity). 8 For purposes of reporting in the SLFRF portal, an obligation is an order placed for property and services, contracts and subawards made, and similar transactions that require payment. 9 See Appendix 3 for the full Expenditure Category (EC) list. Please note that Appendix 3 includes the expenditure categories under the 2021 IFR, applicable to the Interim Report. Coronavirus State and Local Fiscal Recovery Funds Compliance and Reporting Guidance 19 az U.S. DEPARTMENT OF THE TREASURY • Estimated revenue loss due to the COVID-19 public health emergency as of December 31, 2020 • An explanation of how revenue replacement funds were allocated to government services (Note: additional instructions was provided in the user guide) In calculating general revenue and the other items discussed above, recipients should have used audited data if it was available. When audited data was not available, recipients were not required to obtain audited data if substantially accurate figures could be produced on an unaudited basis. Recipients should have used their own data sources to calculate general revenue and did not need to rely on revenue data published by the Census Bureau. Treasury acknowledges that due to differences in timing, data sources, and definitions, recipients' self - reported general revenue figures may differ from those published by the Census Bureau. Recipients were permitted to provide data on a cash, accrual, or modified accrual basis, provided that recipients are consistent in their choice of methodology throughout the covered period and until reporting is no longer required. Recipients' reporting should align with their own financial reporting. In calculating general revenue, recipients should have excluded all intergovernmental transfers from the federal government. This includes, but is not limited to, federal transfers made via a State to a locality pursuant to the CRF or SLFRF. To the extent federal funds are passed through States or other entities or intermingled with other funds, recipients should have attempted to identify and exclude the federal portion of those funds from the calculation of general revenue on a best-efforts basis. Consistent with the broad latitude provided to recipients to use funds for government services to the extent of reduction in revenue, recipients were required to submit a description of services provided. This description may be in narrative or in another form, and recipients were encouraged to report based on their existing budget processes and to minimize administrative burden. For example, a recipient with $100 in revenue replacement funds available could indicate that $50 were used for law enforcement operating expenses and $50 were used for pay -go building of sidewalk infrastructure. As discussed in the 2021 IFR, these services can include a broad range of services but may not be used directly for pension deposits or debt service. Reporting requirements did not require tracking the indirect effects of Fiscal Recovery Funds, apart from the restrictions on use of Fiscal Recovery Funds to offset a reduction in net tax revenue. In addition, recipients were required to indicate that Fiscal Recovery Funds were not used to make a deposit in a pension fund. B. Project and Expenditure Report All recipients are required to submit Project and Expenditure Reports. Note on NEUs: To facilitate reporting, each NEU will need an NEU Recipient Number. This is a unique identification code for each NEU assigned by the State or territory to the NEU as part of its request for funding. 1. Quarterly Reporting The following recipients are required to submit quarterly Project and Expenditure Reports: • States and U.S. territories • Tribal governments that are allocated more than $30 million in SLFRF funding • Metropolitan cities and counties with a population that exceeds 250,000 residents Coronavirus State and Local Fiscal Recovery Funds Compliance and Reporting Guidance 20 0 U.S. DEPARTMENT OF THE TREASURY • Metropolitan cities and counties with a population below 250,000 residents that are allocated more than $10 million in SLFRF funding and NEUs that are allocated more than $10 million in SLFRF funding For these recipients, the initial quarterly Project and Expenditure Report covered three calendar quarters from March 3, 2021 to December 31, 2021 and was required to be submitted to Treasury by January 31, 2022. The subsequent quarterly reports cover one calendar quarter and must be submitted to Treasury by the last day of the month following the end of the period covered. Quarterly reports are not due concurrently with applicable annual reports. Table 3 summarizes the quarterly report timelines: Table 3: Quarterly Project and Expenditure Report Timeline qrt ::e�p� �ear 2021 [—arterl qu 2 — 4 'Period Covered I - — March 3 — December 31 r Date January 31, 2022 1 2 2022 1 January 1 — March 31 Aril 30, 2022 3 2022 2 Aril 1 — June 30 July 31, 2022 4 2022 3 Jul 1 — September 30 October 31, 2022 5 2022 4 October 1 — December 31 January 31, 2023 6 2023 1 January 1 — March 31 Aril 30, 2023 7 2023 2 Aril 1 — June 30 July 31, 2023 8 2023 3 Jul 1 — September 30 October 31, 2023 9 2023 4 October 1 — December 31 January 31, 2024 10 2024 1 January 1 — March 31 Aril 30, 2024 11 2024 2 Aril 1 — June 30 July 31, 2024 12 2024 3 Jul 1 — September 30 October 31, 2024 13 2024 4 October 1 — December 31 January 31, 2025 14 2025 1 January 1 — March 31 Aril 30, 2025 15 2025 2 Aril 1 — June 30 July 31, 2025 16 2025 3 Jul 1 — September 30 October 31, 2025 17 2025 4 October 1 — December 31 January 31, 2026 18 2026 1 January 1 — March 31 Aril 30, 2026 19 2026 2 Aril 1 — June 30 July 31, 2026 20 2026 3 Jul 1 — September 30 October 31, 2026 21 2026 4 October 1 — December 31 Aril 30, 2027 2. Annual Reporting The following recipients are required to submit annual Project and Expenditure Reports: • Tribal governments that are allocated less than $30 million in SLFRF funding • Metropolitan cities and counties with a population below 250,000 residents that are allocated less than $10 million in SLFRF funding and NEUs that are allocated less than $10 million in SLFRF funding For these recipients, the initial Project and Expenditure Report covered from March 3, 2021 to March 31, 2022 and was required to be submitted to Treasury by April 30, 2022. The subsequent annual reports cover one calendar year and must be submitted to Treasury by April 30. Table 4 summarizes the annual report timelines: Coronavirus State and Local Fiscal Recovery Funds Compliance and Reporting Guidance 21 0 U.S. DEPARTMENT OF THE TREASURY Table 4: Annual Project and Expenditure Report timeline Due �Date: Aril 30, 2022 Period Covered March 3, 2021 — March 31, 2022 1 2 Aril 1, 2022 — March 31, 2023 Aril 30, 2023 3 Aril 1, 2023 — March 31, 2024 Aril 30, 2024 4 Aril 1, 2024 — March 31, 2025 Aril 30, 2025 5 Aril 1, 2025 — March 31, 2026 Aril 30, 2026 6 Aril 1, 2026 — December 31, 2026 Aril 30, 2027 3. Required Information The following information is required in Project and Expenditure Reports for both quarterly and annual reporting: Protects: Provide information on all SLFRF funded projects. Projects are defined as a grouping of closely related activities that together are intended to achieve a specific goal or are directed toward a common purpose. These activities can include new or existing eligible government services or investments funded in whole or in part by SLFRF funding. For each project, the recipient is required to enter the project name, identification number (created by the recipient), project expenditure category (see Appendix 1), description, and status of completion. Project descriptions must describe the project in sufficient detail to provide an understanding of the major activities that will occur, and must be between 50 and 250 words. Proiect descriptions for the emergency relief from natural disasters eligible use category must describe the natural disaster the recipient is responding to, including the type of event, and how the emergency relief is related to and reasonably proportional to the natural disaster. a. Projects should be defined to include only closely related activities directed toward a common purpose. Recipients should review the Required Programmatic Data described in 3.g. below and define their projects at a sufficient level of granularity. Note: For each project, the recipient is asked to select the appropriate Expenditure Category based on the scope of the project (see Appendix 1). Projects should be scoped to align to a single Expenditure Category. For select Expenditure Categories, the recipient also is asked to provide additional programmatic data (described further below). b. Obligations and Expenditures: Once a project is entered the recipient will be able to report on the project's obligations and expenditures. Recipients will be asked to report: • Current period obligation • Cumulative obligation • Current period expenditure • Cumulative expenditure Note: The reauirement to report projects' obligations and expenditures and provide a Proiect description applies to all funds under the SLFRF program, including funds spent under the revenue loss eligible use category. All SLFRF funds under any eligible use category are subject to the obligation requirements. FAQ 17.15 discusses how recipients satisfy the obligation requirement for funds used under the revenue loss eligible use category. Please note that electing the standard allowance or reporting the amount of the recipient's revenue loss does not satisfy the obligation requirement. In the Project and Expenditure report, recipients must report their amount of revenue loss by claiming the standard allowance or calculating revenue loss according to the formula in the 2022 final rule. Additionally, recipients must also enter project(s) in either EC 6.1 or 6.2 that encompass Coronavirus State and Local Fiscal Recovery Funds Compliance and Reporting Guidance 22 0U.S. DEPARTMENT OF THE TREASURY all funds obligated under the revenue loss eligible use category. Treasury will assume that projects reported under other ECs are not funded by revenue replacement and the regulations for those ECs will apply for compliance purposes. Project descriptions under EC 6.1 or 6.2 must summarize the project(s) in sufficient detail to provide information on the major activities that will occur. See the Project & Expenditure Report User Guide for additional information. c. Estimates: As discussed in SLFRF FAQs 17.8, 17.11, and 17.16, among others, recipients may document an obligation incurred by December 31, 2024 to expend SLFRF funds in 2025 and 2026 by reporting an estimate to Treasury of future expenses. Recipients are not required to submit estimates for the costs discussed below; rather, they must submit such estimates if they want to use, to cover such costs, any funds that they would otherwise have to return to Treasury after 2024 as unobligated. As discussed below, the estimate will be reported in both the obligation amount for a particular project and as a separate line item within the project for the specific type of estimate. 1. Personnel Costs For projects involving personnel costs to be expended in 2025 and 2026 for positions established and filled by December 31, 2024, recipients may report an estimate of such expenses and retain funds that they would otherwise have to return to Treasury after 2024 as unobligated. See SLFRF FAQs 17.7 and 17.8 for additional details about determining this amount and preparing the estimate. Recipients should only report an estimate if funds are not obligated for those personnel costs through another mechanism, such as through a subaward, contract, or interagency agreement. For each project's reported obligation, the estimate must be limited to estimated personnel costs associated with the individual project and may not include estimated costs associated with other projects. For this estimate, recipients will be asked to report: • Estimated personnel expenditures in 2025 and 2026 • Current period expenditures pursuant to the estimate* • Cumulative expenditures pursuant to the estimate* • Number of full -time -equivalent (FTE) positions for which funds are obligated • Explanation of how the estimate was determined • Brief description of the job categories covered by the estimate * Figures denoted by an asterisk (*) will be zero in the Q2-Q4 2024 reporting periods. Estimated personnel expenditures should also be reflected in the cumulative obligation amount and current period obligation amount discussed in subsection (b). As discussed in section (h) below, the Project & Expenditure Report will prompt the recipient to report "subaward data" for individuals or entities expected to be paid pursuant to the estimated personnel expenditures. Estimated personnel expenses should be reported as a "Direct Payment" entry. Because the recipient may not have precise identifying information for the individuals or entities who will receive wages, salaries, and other payments pursuant to the estimate, the recipient may enter a single "Direct Payment" entry that provides the address and other information of the agency,department, or part of government employing the individuals or entities who will receive such payments. Recipients will have the ability to add additional Direct Payment entries after the obligation deadline for reporting personnel expenses paid pursuant to the estimate. Recipients should add such entries after such payments are made. As with all other expenditures, recipients should ensure that all expenditures made pursuant to the estimate are reported to Treasury with the applicable identifying information. Coronavirus State and Local Fiscal Recovery Funds Compliance and Reporting Guidance 23 0 U.S. DEPARTMENT OF THE TREASURY Alongside these reporting requirements, a recipient must document and keep on file a reasonable justification for how the estimate was determined. This reasonable justification is distinct from the explanation of how the estimate was determined, which will be submitted in the Project & Expenditure Report. The explanation submitted in the Project & Expenditure Report should provide a summary of how the recipient calculated the estimate. The reasonable justification kept on file may include a discussion of the recipient's expectations that eligible personnel costs will continue to be paid in future periods and may include payroll documents, project plans, or other applicable documents. In determining an appropriate estimate for expenses in 2025 and 2026, a recipient may wish to consult the following sections of the Uniform Guidance: • 2 CFR 200.403 — Factors affecting allowability of costs • 2 CFR 200.404 — Reasonable costs • 2 CFR 200.430(i) — Standards for Documentation of Personnel Expenses Please note that recipients may also obligate funds for estimated personnel costs related to compliance with certain administrative and legal requirements of SLFRF, as described in section k, item 15 below. If the personnel costs will be expended in relation to an employee engaged exclusively in compliance with relevant administrative and legal requirements of SLFRF, as discussed in FAQ 17.10, a recipient should report such personnel cost obligations under EC 7.3. A recipient should ensure that reported obligations are not duplicated across multiple projects. 2. Contract Change Orders or Contingencies As discussed in FAQ 17.17, recipients may use SLFRF funds to cover cost increases attributable to a contract entered into by December 31, 2024, if the contract expressly provides for change orders or contract contingencies. For such contracts, a recipient may report an estimate of the amount that may be necessary to cover changes or contingencies in 2025 and 2026 and retain funds that they would otherwise have to return to Treasury after 2024 as unobligated. The estimate must be limited to estimated costs associated with change orders or contingencies for the contract(s) associated with the individual project reported, and may not cover expected costs associated with other contracts reported under separate projects. For this estimate, recipients will be asked to report: • Estimated expenditures to cover contract change orders and contingencies in 2025 and 2026 • Current period expenditures pursuant to the estimate* • Cumulative expenditures pursuant to the estimate* • Explanation of how the estimate was determined * Figures denoted by an asterisk (*) will be zero in the Q2-Q4 2024 reporting periods. Estimated contract change order and contingency expenditures under this provision should also be reflected in the cumulative obligation amount and current period obligation amount discussed in subsection (b). If a recipient previously reported a project with contingency or reserve funds included in the obligated amount, and the recipient was not required to set aside that amount by the contract itself, the recipient must edit the previous project that incorrectly reported the obligation. The recipient may add to the project an estimate of the amount that may be necessary to cover changes or contingencies in 2025 and 2026 using the procedure described above if the contract meets the requirements described in SLFRF FAQ 17.16. Coronavirus State and Local Fiscal Recovery Funds Compliance and Reporting Guidance 24 0 U.S. DEPARTMENT OF THE TREASURY Alongside these reporting requirements, a recipient must document and keep on file a reasonable justification for how the estimate was determined. This reasonable justification is distinct from the explanation of how the estimate was determined, which will be submitted in the Project & Expenditure Report. The explanation submitted in the Project & Expenditure Report should provide a summary of how the recipient calculated the estimate. The reasonable justification kept on file may include a discussion of the recipient's expectations that eligible personnel costs will continue to be paid in future periods and may include payroll documents, project plans, or other applicable documents. In determining an appropriate estimate for expenses in 2025 and 2026, a recipient may wish to consult the following sections of the Uniform Guidance: • 2 CFR 200.403 — Factors affecting allowability of costs • 2 CFR 200.404 — Reasonable costs 3. Certain Administrative and Legal Costs Please see the guidance in section k, item 15 below. d. Proiect Status: Once a project is entered the recipient will be asked to report on project status each reporting period, in four categories: • Not Started • Completed less than 50 percent • Completed 50 percent or more • Completed e. Program Income: Recipients should report the program income earned and expended to cover eligible project costs, if applicable. See the discussion above and in SLFRF FAQs 13.11 and 17.21. Adopted Budget (States, U.S. territories, metropolitan cities and counties with a population that exceeds 250,000 residents only): Each state, territory and metropolitan city and county with a population that exceeds 250,000 residents will provide the budget adopted for each project by its jurisdiction associated with SLFRF funds. Treasury will use this information to better understand the intended impact, identify opportunities for outreach, and understand the recipient's progress in program implementation. Treasury is not approving or pre -approving budgets. • Recipients will enter the Adopted Budget based on information that exists currently in the recipient's financial systems and the recipient's established budget process. Treasury understands that recipients may use different budget processes. For example, a recipient may consider a project budgeted once a legislature has appropriated funds; whereas another recipient may consider a project budgeted at the moment when the funds have been obligated. • Additional information is provided on the differences between Adopted Budget, Obligations, and Expenditures as part of the user guide posted at www.treasury.gov/SLFRPReporting. g. Proiect Demographic Distribution (applicable to Public Health and Negative Economic Impact ECs: EC 1.1-2.371— Collection began April 2022 Recognizing the disproportionate public health and negative economic impacts of the pandemic on many households, communities, and other entities, recipients must report whether certain types of projects are targeted to impacted and disproportionately impacted communities. Recipients will be asked to respond to the following: a. What Impacted and/or Disproportionally Impacted population does this project primarily serve? Please select the population primarily served. b. If this project primarily serves more than one Impacted and/or Disproportionately Impacted population, please select up to two additional populations served. Coronavirus State and Local Fiscal Recovery Funds Compliance and Reporting Guidance 25 0 U'.S. DEPARTMENT OF THE TREASURY Recipients will select from the following options: Public Health • General Public Assistance to • Low- or -moderate income Low-income households and Households households or populations10 populations" Households that experienced • Households and populations unemployment residing in Qualified Census Tracts • Households that experienced • Households that qualify for certain increased food or housing insecurity federal programs13 • Households that qualify for certain • Households receiving services federal programs11 provided by Tribal governments • For services to address lost • Households residing in the U.S. instructional time in K-12 schools: territories or receiving services from any students that lost access to in- these governments person instruction for a significant • For services to address educational period of time disparities, Title I eligible schools14 • Other households or populations • Other households or populations that experienced a negative that experienced a disproportionate economic impact of the pandemic negative economic impact of the other than those listed above pandemic other than those listed (please specify) above leasespecify) Assistance to . Small businesses that experienced a • Small businesses operating in Small negative economic impact of the Qualified Census Tracts Businesses pandemic • Small businesses operated by Tribal • Classes of small businesses governments or on Tribal lands designated as negatively • Small businesses operating in the economically impacted by the U.S. territories pandemic (please specify) • Other small businesses disproportionately impacted by the pandemic leasespecify) 10 Low or moderate -income households and communities are those with (i) income at or below 300 percent of the Federal Poverty Guidelines for the size of the household based on the most recently published poverty guidelines by the Department of Health and Human Services (HHS) or (ii) income at or below 65 percent of the Area Median Income for the county and size of household based on the most recently published data by the Department of Housing and Urban Development (HUD). 11 For Impacted households, these programs are. Children's Health Insurance Program ("CHIP"); Childcare Subsidies through the Child Care and Development Fund ("CCDF") Program; Medicaid; National Housing Trust Fund ("HTF"), for affordable housing programs only; Home Investment Partnerships Program ("HOME"), for affordable housing programs only. 12 Low-income households and communities are those with (i) income at or below 185 percent of the Federal Poverty Guidelines for the size of the household based on the most recently published poverty guidelines by HHS or (ii) income at or below 40 percent of Area Median Income for its county and size of household based on the most recently published data by HUD. 13 For Disproportionately Impacted households, these programs are Temporary Assistance for Needy Families ("TANF"), Supplemental Nutrition Assistance Program ("SNAP"), Free- and Reduced -Price Lunch ("NSLP") and/or School Breakfast ("SBP") programs, Medicare Part D Low -Income Subsidies, Supplemental Security Income ("SSI"), Head Start, Special Supplemental Nutrition Program for Women, Infants, and Children ("WIC"), Section 8 Vouchers, Low -Income Home Energy Assistance Program ("LIHEAP"), and Pell Grants. 14 For educational services and other efforts to address educational disparities, Treasury will recognize Title I eligible schools as disproportionately impacted and responsive services that support the school generally or support the whole school service as eligible. "Title I eligible schools" means schools eligible to receive services under section 1113 of Title I, Part A of the Elementary and Secondary Education Act of 1965, as amended (20 U.S.C. 6313), including schools served under section 1113(b)(1)(C) of that Act. Coronavirus State and Local Fiscal Recovery Funds Compliance and Reporting Guidance +W 0 U.S. DEPARTMENT OF THE TREASURY Assistance to • Non -profits that experienced a • Non -profits operating in Qualified Non -Profits negative economic impact of the Census Tracts pandemic (please specify) . Non -profits operated by Tribal • Classes of non -profits designated as governments or on Tribal lands negatively economically impacted by • Non -profits operating in the U.S. the pandemic (please specify) territories • Other non -profits disproportionately impacted by the pandemic (please specify) Aid to Impacted • Travel, tourism, or hospitality sectors N/A Industries (including Tribal development districts) • Industry outside the travel, tourism, or hospitality sectors that experienced a negative economic impact of the pandemic (please specify) Subawards. Contracts. Grants. Loans, Transfers. Interaaencv Aareements. and Direct Pavments: Each recipient shall also provide detailed obligation and expenditure information for any contracts and grants awarded, loans issued, transfers made to other government entities, interagency agreements entered into pursuant to SLFRF FAQ 17.6, and direct payments made by the recipient that are equal to or greater than $50,000. Please note that as outlined in FAQ 13.14, Treasury is not collecting subaward data for projects categorized under the revenue loss eligible use category. Recipients do not need to submit separate monthly subaward reports to FSRS.gov as required pursuant to the 2 CFR Part 170, Appendix A award term regarding reporting subaward and executive compensation, which is included in the SLFRF Award Terms and Conditions. Treasury will submit this reporting on behalf of recipients using the $50,000 reporting threshold, timing, and data elements discussed in this guidance. If recipients choose to continue reporting to FSRS.gov in addition to reporting directly to Treasury on these funds, they may do so and will be asked to notify Treasury as part of their quarterly submission. In general, recipients will be asked to provide the following information for each Contract, Grant, Loan, Transfer, Interagency Agreement, or Direct Payment equal to or greater than $50,000: • Subrecipient identifying and demographic information (e.g., location and UEI/TIN) • Award number (e.g., Award number, Contract number, Loan number) • Award date, type, amount, and description • Award payment method (reimbursable or lump sum payment(s)) • For loans, expiration date (date when loan expected to be paid in full) • Primary place of performance • Related project name(s) • Related project identification number(s) (created by the recipient) • Period of performance start date • Period of performance end date • Quarterly obligation amount • Quarterly expenditure amount • Project(s) • Additional programmatic performance indicators for select Expenditure Categories (see below) Coronavirus State and Local Fiscal Recovery Funds Compliance and Reporting Guidance 27 0U.S. DEPARTMENT OF THE TREASURY Aggregate reporting is required for contracts, grants, transfers made to other government entities, interagency agreements, loans, and direct payments that are below $50,000. This information will be accounted for by Expenditure Category at the project level. Note that all obligations and expenditures made directly to individuals, regardless of dollar amount, should be included in aggregate reporting. For interagency agreements, recipients will be required to attest that the agreement meets the requirements for those transactions described in FAQ 17.6 and indicate which of the following criteria the interagency agreement meets: • It imposes conditions on the use of funds by the agency, department, or part of government receiving funds to carry out the program • It governs the provision of funds from one agency, department, or part of government to another to carry out an eligible use of SLFRF funds • . it governs the procurement of goods or services by one agency, department, or part of government from another As required by the 2 CFR Part 170, Appendix A award term regarding reporting subaward and executive compensation, recipients must also report the names and total compensation of their five most highly compensated executives and their subrecipients' executives for the preceding completed fiscal year if (1) the recipient received 80 percent or more of its annual gross revenues from Federal procurement contracts (and subcontracts) and Federal financial assistance subject to the Transparency Act, as provided by 2 CFR 170.320 (and subawards), and received $25,000,000 or more in annual gross revenues from Federal procurement contracts (and subcontracts) and Federal financial assistance subject to the Transparency Act (and subawards), and (2) if the information is not otherwise public. In general, most SLFRF recipients are governmental entities with executive salaries that are already disclosed, so no additional information would be required to be reported for them. The recipient is responsible for the subrecipients' compliance with registering and maintaining an updated profile on SAM.gov. In accordance with the SLFRF Financial Assistance agreement, recipients must include a subrecipient's Unique Entity Identifier (UEI) in the SLFRF Project and Expenditure report. Beginning with the October 2023 report, subrecipients reported without a UEI will require recipients to select a justification for the missing UEI for the reported subrecipient. The justifications are as follows: • Subrecipient facing delay in obtaining UEI from the U.S. General Services Administration • Recipient was delayed in collecting a UEI from its subrecipient due to recipient's internal control issue and recipient must describe the internal control issue and planned corrective action. • Recipient was unable to contact subrecipient: o Services the subrecipient provided were completed after April 4, 2022 and recipient is continuing to work to collect its subrecipient's UEI o Services the subrecipient provided were completed prior to April 4, 2022 Recipients will also be required to report a timeline for obtaining and reporting the UEI for all reasons excluding services that were completed prior to April 4, 2022. i. Civil Rights Compliance: Treasury will request information on recipients' compliance with Title VI of the Civil Rights Act of 1964, as applicable, on an annual basis. This information may include a narrative describing the recipient's compliance with Title VI, along with other questions and assurances. This collection does not apply to Tribal governments15 15 Please note, as explained in Treasury FAQ 12.1, that the award terms and conditions for Treasury's pandemic recovery programs, including the SLFRF, do not impose antidiscrimination requirements on Tribal governments beyond what would otherwise apply under federal law. Coronavirus State and Local Fiscal Recovery Funds Compliance and Reporting Guidance 28 0U.S. DEPARTMENT OF THE TREASURY Ineligible Activities: Tax Offset Provision (States and territories only): Section 602(c)(2)(A) of the Social Security Act prohibits a State or territory from using SLFRF funds to directly or indirectly offset a reduction in the net tax revenue of the State or territory resulting from a change in law, regulation, or administrative interpretation during the covered period (the "Tax Offset Provision"). The 2022 Final Rule implements the Tax Offset Provision at 31 CFR § 35.8. Violations of the Tax Offset Provision may be subject to recoupment. The following information is required for Treasury to ensure SLFRF funding is not used for ineligible activities related to the Tax Offset Provision. For each reporting year, in the quarterly reporting cycle occurring 90 days after the end of the recipient's fiscal year, States and territories will report certain items related to the Tax Offset Provision, as detailed below. For example, if a recipient's fiscal year ends June 30, 2022, reporting on the Tax Offset Provision for fiscal year 2022 will be due in October 2022. All States and territories reported on the Tax Offset Provision for fiscal year 2021 in July 2022. As indicated in the 2022 final rule, Treasury is implementing a tiered approach to reporting on the Tax Offset Provision, which is described below. Although Treasury is implementing a tiered approach to reporting, recipients should maintain records to support their compliance with the Tax Offset Provision. The terms "reporting year," "baseline," "covered change," "covered period," "net reduction in total spending," and "tax revenue" are defined in the 2022 Final Rule, 31 CFR § 35.3. For purposes of calculating a net reduction in total spending, total spending for the fiscal year ending 2019 should be reported on an inflation -adjusted basis, consistent with the 2022 Final Rule. Similarly, for purposes of calculating baseline tax revenue, tax revenue for the fiscal year 2019 should be reported on an inflation -adjusted basis, consistent with the 2022 Final Rule. For purposes of reporting actual tax revenue for the requested fiscal year and baseline tax revenue for the fiscal year ending 2019,16 (a) if available, recipients should report information using audited financials and (b) recipients may provide data on a cash, accrual, or modified accrual basis, but must be consistent in their approach across all reporting periods. Similarly, for purposes of calculating a net reduction in total spending, recipients should report data using audited financials where available. Recipients will first answer a series of summary questions to determine the tiering of their tax offset reporting: Summary Questions • Do you have revenue -reducing covered change(s) to report for the requested fiscal year and for future fiscal years? Yes/No o If no, recipients have no further reporting requirements in the tax offset section. (Remaining summary questions will be greyed out). o If yes, recipients will complete part 1 and additional fields. • Is the aggregate value of your revenue -reducing covered change(s) for the requested fiscal year less than the de minimis? Yes/No. o If yes, recipients will complete parts 1 and 2, and no further reporting is required in the tax offset section. (Remaining summary questions will be greyed out). o If no, recipients will complete parts 1, 2 and additional fields. • Do you have a reduction in net tax revenue for the requested fiscal year, meaning that actual tax revenue for the requested fiscal year is less than baseline tax revenue? Yes/No. o If yes, recipients will complete parts 1, 2, and 3 and additional fields. o If no, recipients will complete parts 1, 2, and 3, and no further reporting is required in the tax offset section. (Remaining summary questions will be greyed out). 16 Tax revenue for fiscal year ending 2019 is relevant for calculating the recipient's baseline. Coronavirus State and Local Fiscal Recovery Funds Compliance and Reporting Guidance 29 0U.S. DEPARTMENT OF THE TREASURY • Do you have revenue -increasing covered change(s) and/or covered spending cuts to report for the requested fiscal year? Yes/No o If yes, recipients will complete parts 1, 2, 3, and 4. o if no, recipients will complete the revenue reduction cap. Reporting Part 1: Revenue -reducing Covered Changes • Do you have revenue -reducing covered change(s) to report for the requested fiscal year and for future fiscal years? Yes/No o If yes, complete grid or upload spreadsheet with the name of each revenue -reducing covered change and the value of the revenue -reducing covered change for the requested fiscal year and for future fiscal years. o If no, a recipient has no revenue -reducing covered changes to report, no additional reporting is required. • Enter in the aggregate value of all revenue -reducing covered change(s) for the requested fiscal year." Revenue -reducing Covered Changes: Guidance For each reporting year, a recipient must report the value of covered changes that the recipient predicts will have the effect of reducing tax revenue in a given reporting year (revenue -reducing covered changes), similar to the way it would in the ordinary course of its budgeting process. The value of these revenue -reducing covered changes may be reported based on estimated values produced by a budget model, incorporating reasonable assumptions, that aligns with the recipient government's existing approach for measuring the effects of fiscal policies, and that measures relative to a current law baseline. The revenue -reducing covered changes may also be reported based on actual values using a statistical methodology to isolate the change in year - over -year revenue attributable to the covered change(s), relative to the current law baseline prior to the change(s). Estimation approaches should not use dynamic methodologies that incorporate the projected effects of the policies on macroeconomic growth. In general and where possible, reported values should be produced by the agency of the recipient government responsible for estimating the costs and effects of fiscal policy changes. Recipients must maintain records regarding the identification and predicted effects of revenue -reducing covered changes. Reporting Part 2: Baseline Revenue and De Minimis Threshold • Enter Baseline Revenue: • Enter in the aggregate value of the revenue -reducing covered change(s) for the requested fiscal year as a percentage of baseline revenue: • Is the aggregate value of the revenue -reducing covered change(s) for the requested fiscal year less than one percent of baseline revenue? Y/N o If yes, a recipient's aggregate value of the revenue -reducing covered changes in the reporting year is less than the de minimis threshold, and no additional reporting is required. Baseline Revenue: Guidance Baseline has the meaning defined in the 2022 Final Rule, 31 CFR 35.3. Recipients must determine whether the aggregate value of the revenue -reducing covered changes in the reporting year is less than one percent of baseline revenue (the de minimis threshold). " The 2022 final rule defines covered change. "Covered change means a change in law, regulation, or administrative interpretation that reduces any tax (by providing for a reduction in a rate, a rebate, a deduction, a credit, or otherwise) or delays the imposition of any tax or tax increase. A change in law includes any final legislative or regulatory action, a new or changed administrative interpretation, and the phase -in or taking effect of any statute or rule if the phase -in or taking effect was not prescribed prior to the start of the covered period." Coronavirus State and Local Fiscal Recovery Funds Compliance and Reporting Guidance 30 "y U.S. DEPARTMENT OF THE TREASURY Reporting Part 3: Actual Tax Revenue and Reduction in Net Tax Revenue • Enter Actual Tax Revenue for the requested fiscal year: • Enter Reduction in Net Tax Revenue: baseline revenue minus actual tax revenue o If the value of the reduction in net tax revenue is zero or negative (meaning that actual tax revenue is equal to or greater than baseline revenue), no additional reporting is required. Actual Tax Revenue: Guidance Actual tax revenue means the tax revenue received by the recipient government in the reporting year.. Tax revenue has the meaning defined in the 2022 Final Rule, 31 CFR 35.3. Reduction in Net Tax Revenue: Guidance The reduction in net tax revenue is equal to baseline revenue minus actual tax revenue in each reporting year. If this value is zero or negative, there is no reduction in net tax revenue. Reporting Part 4: Revenue -increasing Covered Changes and Covered Spending Cuts • Do you have revenue -increasing covered change(s) and/or covered spending cuts to report for the requested fiscal year? Yes/No. • If yes, complete grid or upload spreadsheet with the name of each revenue -increasing covered change and the value. • Enter in the aggregate value of revenue -increasing covered change(s): • Enter net reduction in total spending for the requested fiscal year: • Complete grid or upload spreadsheet of specific spending cuts and the corresponding "reporting unit", including the name of the reporting unit, description of the spending cut, the amount of the reduction in spending in the reporting unit for the reporting year relative to its inflation -adjusted FY 2019 level, the amount of any Fiscal Recovery Funds spent in the reporting unit in the reporting year, and the amount by which the reduction in spending in the reporting unit in the reporting year exceeds the Fiscal Recovery Funds spent in the reporting unit in the reporting year, if at all. • Enter the aggregate value of covered spending cuts. • Enter the aggregate value of revenue -increasing covered changes + the aggregate value of covered spending cuts. • Enter the total value of revenue -reducing covered changes minus the total of (aggregate value of revenue -increasing covered changes + aggregate value of covered spending cuts). • Is the aggregate value of revenue -reducing covered changes minus the total of (aggregate value of revenue -increasing changes + aggregate value of covered spending cuts) negative or equal to zero? (Yes/No) o If yes, recipients have no further reporting requirements related to the Tax Offset Provision. o If no, recipients must move on to the calculation of the revenue reduction cap. Revenue -increasing covered changes: Guidance If a recipient has revenue -reducing covered changes, the aggregate value of which exceed the de minimis threshold, and its actual tax revenue does not exceed baseline tax revenue, a recipient must report the value of covered changes that have had or that the recipient predicts will have the effect of increasing tax revenue in a given reporting year (revenue -increasing covered changes), similar to the way it would in the ordinary course of its budgeting process. The value of these revenue -increasing covered changes may be reported based on estimated values produced by a budget model, incorporating reasonable assumptions, that aligns with the recipient's existing approach for measuring the effects of fiscal policies, and that measures relative to a current law baseline. The revenue -increasing covered changes may also be reported based on actual values using a statistical methodology to isolate the change in year- Coronavirus State and Local Fiscal Recovery Funds Compliance and Reporting Guidance 31 0U.S. DEPARTMENT OF THE TREASURY over -year revenue attributable to the revenue -increasing covered change(s), relative to the current law baseline prior to the change(s). Estimation approaches should not use dynamic methodologies that incorporate the projected effects of the policies on macroeconomic growth. In general and where possible, reporting should be produced by the agency of the recipient responsible for estimating the costs and effects of fiscal policy changes. Recipients should maintain records regarding revenue -increasing covered changes and estimates of such changes. Net reduction in total spending, and tables of specific spending cuts: Guidance Recipients may cut spending in certain areas to pay for revenue -reducing covered changes, up to the amount of the recipient's net reduction in total spending. To calculate the amount of spending cuts that are available to offset a reduction in tax revenue, the recipient must first consider whether there has been a reduction in total net spending, excluding Fiscal Recovery Funds (net reduction in total spending). As defined in the 2022 Final Rule, 35 CFR 35.3, net reduction in total spending is measured as the recipient government's total spending for a given reporting year excluding Fiscal Recovery Funds, subtracted from its total spending for its fiscal year ending in 2019, adjusted for inflation using the Bureau of Economic Analysis's Implicit Price Deflator for the gross domestic product of the United States for that reporting year. If that calculation yields a positive value, there has been a net reduction in total spending; if it yields zero or a negative value, there has not been a net reduction in total spending. If there has been no net reduction in total spending, a recipient will have no spending cuts to offset a reduction in net tax revenue. Next, a recipient must determine and aggregate the value of spending cuts in each "reporting unit." "Reporting units" are departments, agencies, or authorities of the recipient's government. For each reporting unit, the recipient must report (1) the amount of the reduction in spending in the reporting unit for the reporting year relative to its inflation -adjusted FY 2019 level, (2) the amount of any Fiscal Recovery Funds spent in the reporting unit in the reporting year, and (3) the amount by which the reduction in spending in the reporting year exceeds the Fiscal Recovery funds spent in the reporting unit in the reporting year. If a recipient has not spent amounts received from the Fiscal Recovery Funds in a reporting unit, the full amount of the reduction in spending counts as a covered spending cut and may be included in the aggregate value of spending cuts. If the recipient has spent amounts received from the Fiscal Recovery Funds, such amounts generally would be deemed to have replaced the amount of spending cut, and only reductions in spending.above the amount of Fiscal Recovery Funds spent on the reporting unit would be eligible to offset a reduction in net tax revenue. Only such amounts above the amount of Fiscal Recovery Funds spent on the reporting unit should be included in the aggregate value of spending cuts. To align with existing reporting and accounting, the 2022 Final Rule considers the department, agency, or authority from which spending has been cut and whether the recipient government has spent amounts received from the Fiscal Recovery Funds on that same department, agency, or authority. Some commenters on the 2021 interim final rule argued that the methodology for identifying offsetting spending cuts at the department, agency, or authority level was too restrictive, but as discussed in the 2022 final rule, Treasury maintained the approach of requiring this reporting at the department, agency, or authority level. Recipients are encouraged to define reporting units in a manner consistent with their existing budget process and should, to the extent possible, report using the same reporting unit in each reporting year. Spending cuts must be reported relative to FY 2019 spending levels, adjusted for inflation, and excluding Fiscal Recovery Funds from reporting year spending levels. Recipients should maintain records regarding spending cuts. Reporting Part 5: Revenue Reduction Cap Coronavirus State and Local Fiscal Recovery Funds Compliance and Reporting Guidance 32 0 U.S. DEPARTMENT OF THE TREASURY The "revenue reduction cap," together with Part 3, ensures that recipient governments can use organic revenue growth to offset the cost of revenue -reducing covered changes. If, based on the calculations completed so far, a recipient has not yet demonstrated how its revenue -reducing covered changes were offset by non-SLFRF sources, the reporting portal will auto -calculate the revenue reduction cap, which will be the lesser of the following two amounts: • Reduction in Net Tax Revenue (baseline tax revenue minus actual tax revenue) [pre - populated from Part 3] and • Aggregate Value of revenue -reducing covered changes minus (total of (aggregate value of revenue -increasing changes + aggregate value of covered spending cuts) [pre -populated from Part 4]. k. Required Programmatic Data (other than water, sewer, and broadband infrastructure projects): For all projects listed under the following Expenditure Categories (see Appendix 1), the information listed must be provided in each report. 1. Public Health and Negative Economic Impact (EC 1.1-3.5) - Collection began in April 2022 • Brief description of structure and objectives of assistance program(s), including public health or negative economic impact experienced • Brief description of how a recipient's response is related and reasonably proportional to a public health or negative economic impact of COVID-19.18 Note: The 2022 final rule presumes that all enumerated eligible uses for programs and services, including COVID-19 mitigation and prevention programs and services, are reasonably proportional responses to the harm identified unless a response is grossly disproportionate to the type or extent of harm experienced. Many of the Eligibility Categories encompass multiple specific enumerated eligible uses and may be provided to a variety of populations. For example, EC 2.13 Healthy Childhood Environments: Services to Foster Youth or Families Involved in Child Welfare System includes a wide array of financial, educational, child development, or health supports, or other supports necessary, including supports for kinship care, and may be provided to foster youth and/or families involved in the child welfare system. Between these two fields above, recipients should provide enough information to identify the type of enumerated eligible use being provided within the EC (e.g., kinship care support services), the public health or economic impact experienced, who the program and/or service is being provided to, and what services are being provided (e.g., respite resources). For enumerated eligible uses, recipients are not required to provide substantive documentation that the response is related and reasonably proportional in the Project and Expenditure Report. 2. Capital Expenditures (EC 1.1-3.5) - Collection began in January 2022, with additional fields required starting in July 2022 • Does this project include a capital expenditure? (Collection began in January 2022) • Total expected capital expenditure, including pre -development costs, if applicable (Collection began in January 2022) • Type of capital expenditure, based on the following enumerated uses (Collection began in July 2022): ■ COVID-19 testing sites and laboratories, and acquisition of related equipment ■ COVID-19 vaccination sites ■ Medical facilities generally dedicated to COVID-19 treatment and mitigation (e.g., emergency rooms, intensive care units, telemedicine capabilities for COVID-19 related treatment) 18 Please note that capital expenditures are not considered "programs and services" and are not presumed to be reasonably proportional responses to an identified harm except as provided in the 2022 final rule. Coronavirus State and Local Fiscal Recovery Funds Compliance and Reporting Guidance 33 4 U.S. DEPARTMENT OF THE TREASURY ■ Temporary medical facilities and other measures to increase COVID-19 treatment capacity, including related construction costs ■ Acquisition of equipment for COVID-19 prevention and treatment, including ventilators, ambulances, and other medical or emergency services equipment ■ Emergency operations centers and acquisition of emergency response equipment (e.g., emergency response radio systems) ■ Installation and improvement of ventilation systems in congregate settings, health facilities, or other public facilities ■ Public health data systems, including technology infrastructure ■ Adaptations to congregate living facilities, including skilled nursing facilities, other long-term care facilities, incarceration settings, homeless shelters, residential foster care facilities, residential behavioral health treatment, and other group living facilities, as well as public facilities and schools (excluding construction of new facilities for the purpose of mitigating spread of COVID-19 in the facility) ■ Mitigation measures in small businesses, nonprofits, and impacted industries (e.g., developing outdoor spaces) ■ Behavioral health facilities and equipment (e.g., inpatient or outpatient mental health or substance use treatment facilities, crisis centers, diversion centers) ■ Technology and equipment to allow law enforcement to efficiently and effectively respond to the rise in gun violence resulting from the pandemic ■ Affordable housing, supportive housing, or recovery housing development ■ Food banks and other facilities primarily dedicated to addressing food insecurity ■ Transitional shelters (e.g., temporary residences for people experiencing homelessness) ■ Devices and equipment that assist households in accessing the internet (e.g., tablets, computers, or routers) ■ Childcare, daycare, and early learning facilities ■ Job and workforce training centers ■ Improvements to existing facilities to remediate lead contaminants (e.g., removal of lead paint) ■ Medical equipment and facilities designed to address disparities in public health outcomes (includes primary care clinics, hospitals, or integrations of health services into other settings) ■ Parks, green spaces, recreational facilities, sidewalks, pedestrian safety features like crosswalks, streetlights, neighborhood cleanup, and other projects to revitalize public spaces ■ Rehabilitations, renovation, remediation, cleanup, or conversions of vacant or abandoned properties ■ Schools and other educational facilities or equipment to address educational disparities ■ Technology and tools to effectively develop, execute, and evaluate government programs ■ Technology infrastructure to adapt government operations to the pandemic (e.g., video-conferencing software, improvements to case management systems or data sharing resources), reduce government backlogs, or meet increased maintenance needs ■ Other (please specify) For recipients (other than Tribal governments) investing in projects with total expected capital expenditures for an enumerated eligible use of $10 million or more, as well as projects with total expected capital expenditures for an "other" use of $1 million or more, provide a written justification (Collection began in July 2022) For projects with total expected capital expenditures of over $10 million, provide labor reporting as outlined for infrastructure projects on pages 37 and 38 (Collection began July 2022) Coronavirus State and Local Fiscal Recovery Funds Compliance and Reporting Guidance 34 ' U.S. DEPARTMENT OF THE TREASURY 3. Household Assistance (EC 2.1-2.8) — Collection began January 2022: • Number of households served (by program if recipient establishes multiple separate household assistance programs) 4. Small Business Economic Assistance (EC 1.8, 2.29-2.33) — Collection began April 2022 • Number of small businesses served (by program if recipient establishes multiple separate small business assistance programs) 5. Assistance to Non -Profits (EC 1.9, 2.34)- Collection began April 2022 • Number of Non -Profits served (by program if recipient establishes multiple separate non- profit assistance programs) 6. Aid to Travel, Tourism, and Hospitality or Other Impacted Industries (EC 1.10, 2.35-2.36) — Collection began April 2022: • If aid is provided to industries other than travel, tourism, and hospitality (EC 2.36), describe if the industry experienced at least 8 percent employment loss from pre - pandemic levels, or the industry is experiencing comparable or worse economic impacts as the national tourism, travel, and hospitality industries as of the date of the 2022 final rule, and rationale for providing aid to the industry • For each subaward: o Sector of employer (Note: additional detail, including list of sectors, to be provided in the user guide posted to www.treasury.gov/SLFRP) o Purpose of funds (e.g., payroll support, safety measure implementation) J. Education Assistance (EC 2.14, 2.24-.2.27) — Collection began in January 2022: • The National Center for Education Statistics ("NCES") School ID or NCES District ID. List the School District if all schools within the school district received some funds. If not all schools within the school district received funds, list the School ID of the schools that received funds. These can allow evaluators to link data from the NCES to look at school - level demographics and, eventually, student performance.19 8. Payroll for Public Health and Safety Employees (EC 3.1) — Collection began in January 2022: • Number of government FTEs responding to COVID-19 supported under this authority 9. Rehiring Public Sector Staff (EC 3.2) — Collection began in January 2022: • Number of FTEs rehired by governments under this authority 10. Premium Pay (both Public Sector EC 4.1 and Private Sector EC 4.21 — Collection began in January 2022; additional field began in April 2022 • List of sectors designated as critical to protecting the health and well-being of residents by the chief executive of the jurisdiction, if beyond those included in the 2022 final rule (Collection began January 2022) • Number of workers to be served (Collection began January 2022) • Employer sector for all subawards to third -party employers (i.e., employers other than the State, local, or Tribal government) (Collection began January 2022) • For groups of workers (e.g., an operating unit, a classification of worker, etc.) or, to the extent applicable, individual workers, other than those where the eligible worker receiving premium pay is earning (with the premium pay included) below 150 percent of their residing state or county's average annual wage for all occupations, as defined by the Bureau of Labor Statistics Occupational Employment and Wage Statistics, whichever is 19 For more information on NCES identification numbers see https:Hnces.ed.gov/ccd/districtsearch/ (districts) and https:Hnees.ed.gov/ccd/schoolsearch/ (schools). Coronavirus State and Local Fiscal Recovery Funds Compliance and Reporting Guidance 35 L''a U.S. DEPARTMENT OF THE TREASURY higher, on an annual basis; OR the eligible worker receiving premium pay is not exempt from the Fair Labor Standards Act overtime provisions: ■ A brief written narrative justification of how the premium pay or grant is responsive to workers performing essential work during the public health emergency. This could include a description of the essential workers' duties, health or financial risks faced due to COVID-19, and why the recipient government determined that the premium pay was responsive to workers performing essential work during the pandemic. This description should not include personally identifiable information; when addressing individual workers, recipients should be careful not to include this information. Recipients may consider describing the workers' occupations and duties in a general manner as necessary to protect privacy (Collection began January 2022) Number of workers to be served with premium pay in K-12 schools (Collection began April 2022) 11. Revenue replacement (EC 6.1) — Collection began in August 2021: As outlined in the 2022 final rule, recipients have the option to make a one-time decision to calculate revenue loss according to the formula outlined in the 2022 final rule or elect a "Standard Allowance" of up to $10 million, not to exceed the award allocation, to spend on government services throughout the period of performance. The option to make this one-time decision was provided during the April 30, 2022 reporting deadline. Recipients may update their revenue loss determination, as appropriate, through the April 2025 reporting period. Upon update, any prior revenue loss election will be superseded. Recipients must use a consistent methodology across the period of performance (i.e., choose either the standard allowance or the full formula) and may not elect one approach for certain reporting years and the other approach for different reporting years. For recipients electing the "Standard Allowance," Treasury will presume that up to $10 million, not to exceed the award allocation, in revenue has been lost due to the public health emergency. Recipients are permitted to use that amount to fund "government services." Please note that electing the standard allowance does not change a recipient's total allocation. Recipients that elect to use this standard allowance will make this election instead of calculating lost revenue using the formula. For recipients calculating revenue loss according to the formula, the 2022 final rule permits recipients to choose whether to use calendar or fiscal year calculation dates. Recipients must use the same calculation time frame (calendar or fiscal year) throughout the award period. Recipients calculating lost revenue using the formula should report the following: • Choice of fiscal or calendar year revenue loss (choice must remain consistent throughout award period) • General revenue collected over the past 12 months as of the most recent calculation date, as outlined in the 2022 final rule. • Calculated revenue loss due to the COVID-19 public health emergency; and • An explanation of how the revenue replacement funds were allocated to government services (note: additional instructions and/or template provided in the user guide posted at www.treasury.Qov/SLFRPReporting). For information on treatment of future tax changes, please see the Statement Regarding Compliance with the Coronavirus State and Local Fiscal Recovery Funds Interim Final Rule and Final Rule. Coronavirus State and Local Fiscal Recovery Funds Compliance and Reporting Guidance 0 U.S. DEPARTMENT OF THE TREASURY 12. Emergency Relief from Natural Disasters (EC 8) — Collection began October 2023: For EC 8.1-8.11 • Identify the natural disaster declaration or designation o Emergency Declaration or Major Declaration pursuant to the Robert T. Stafford Disaster Relief and Emergency Assistance Act ■ If responding to a natural disaster that is the subject of an emergency declaration pursuant to the Robert T. Stafford Disaster Relief and Emergency Assistance Act: • Provide the declaration identification number; • Have SLFRF funds provided financial assistance to a person, business concern, or other entity with respect to disaster losses? If providing financial assistance to a person, business concern, or other entity with respect to disaster losses, recipients are responsible for ensuring compliance with the duplication of benefits requirements described in the interim final rule at 31 CFR 35.6(g)(3). Disaster losses are losses suffered as a result of a major disaster or emergency declared under the Stafford Act. ' o Emergency declaration by the Governor of a state pursuant to respective state law without a Stafford Act Declaration o Emergency declaration by a Tribal government without a Stafford Act Declaration Designation of an event of a natural disaster by the chief executive or equivalent of recipient government with the event meeting the definition of natural disaster that does not also have a Stafford Act Declaration For EC 8.6, 8.71 8.12, 8.13 • Does this project include a capital expenditure? • Total expected cost of capital expenditures funded with SLFRF in a project, including pre -development costs, if applicable • For projects with total expected capital expenditures of over $10 million, provide labor reporting as outlined for infrastructure projects on pages 37 and 38 • For EC 8.12 (not EC 8.6, 8.7, 8.13): For recipients (except for Tribal governments) using SLFRF for mitigation activities with SLFRF-funded capital expenditures over $1 million, provide a written justification. Recipients that incorporate mitigation activities into repairing public infrastructure or home repairs should report their projects in EC 8.12. 13. Surface Transportation (EC 9) — Collection began October 2023 (Additional fields may be phased in through future reporting periods): • EC 9.1-9.3: Supplement, Not Supplant Attestation: The SLFRF funds used for this project are supplementing not supplanting other federal, state, territorial, Tribal, and local government funds (as applicable) that are otherwise available for these projects. • EC 9.1: Surface Transportation Projects Receiving Funding from Department of Transportation (DOT) o Select the relevant program under which your DOT -funded project falls (check one box): ■ INFRA Grants ■ National Highway Performance Program (NHPP) ■ Bridge Investment Program (BIP) ■ Surface Transportation Block Grant Program (STBG) ■ Highway Safety Improvement Program (HSIP) ■ Congestion Mitigation and Air Quality Improvement Program (CMAQ) ■ Charging and Fueling Infrastructure Discretionary Grant Program (CFI Program) Coronavirus State and Local Fiscal Recovery Funds Compliance and Reporting Guidance 37 0U.S. DEPARTMENT OF THE TREASURY ■ Territorial and Puerto Rico Highway Program ■ National Highway Freight Program (N'HFP) ■ Rural Surface Transportation Grant Program ■ Carbon Reduction Program (CRP) ■ Promoting Resilient Operations for Transformative, Efficient, and Cost - Saving Transportation (PROTECT) ■ Tribal Transportation Program (TTP) ■ Federal Lands Transportation Program (FLTP) ■ Federal Lands Access Program (FLAP) ■ Rebuilding American Infrastructure with Sustainability and Equity (RAISE) Grant Program ■ Transportation Infrastructure Finance and Innovation Act (TIFIA) ■ Urbanized Formula Grants ■ Fixed Guideway Capital Investment Grants ■ Formula Grants for Rural Areas ■ State of Good Repair Grants ■ Grants for Buses and Bus Facilities ■ National culvert removal, replacement, and restoration grant program (Culvert AOP Program) ■ Bridge Replacement, Rehabilitation, Preservation, Protection, and Construction Program (Bridge Formula Program or BFP) ■ Metropolitan transportation planning ■ Projects that further the completion of a designated route of the Appalachian Development Highway System (ADHS) o FAIN number(s) for associated DOT project o Was DOT consulted prior to using SLFRF funds for this project? Yes/No. o For States using funds for projects eligible under title 23 of the U.S. Code or otherwise subject to the requirements of title 23 of the U.S. Code, select whether the project will: ■ Demonstrate progress in achieving a state of good repair as required by the State's asset management plan under 23 U.S.C. 119(e); and (Yes/No) ■ Support the achievement of 1 or more performance targets of the State established under 23 U.S.C. 150. (Yes/No) ■ This project is not a project eligible under title 23 of the U.S. Code or otherwise subject to the requirements of title 23 of the U.S. Code. o Limitation on Operating Expenses Attestation (only for Urbanized Formula Grants, Fixed Guideway Capital Investment Grants, Formula Grants for Rural Areas, State of Good Repair Grants, or Grants for Buses and Bus Facilities): The SLFRF funds associated with this project are not being used for operating expenses. EC 9.2: Surface Transportation Projects Not Receiving Funding from DOT (Streamlined Framework) o Select the eligible project type from the 2023 RAISE Grant NOFO for which the recipient is using SLFRF funds. ■ Highway, bridge, or other road projects eligible under title 23 of the U.S. Code ■ Public transportation projects eligible under chapter 53 of title 49, U.S.C. ■ Passenger and freight rail transportation projects ■ Port infrastructure investments (including inland port infrastructure and land ports of entry) Coronavirus State and Local Fiscal Recovery Funds Compliance and Reporting Guidance 38 0 U.S. DEPARTMENT OF THE TREASURY ■ The surface transportation components of an airport project eligible for assistance under part B of subtitle VII of title 49, U.S.C. ■ Intermodal projects ■ Projects to replace or rehabilitate a culvert or prevent stormwater runoff for the purpose of improving habitat for aquatic species while advancing the goals of the RAISE program Projects investing in surface transportation facilities that are located on Tribal land and for which title or maintenance responsibility is vested in the Federal Government ■ Public road and non -motorized projects that are not otherwise eligible under title 23, United States Code ■ Transit -oriented development projects ■ Mobility on -demand projects that expand access and reduce transportation cost burden ■ Planning projects o For States using funds for projects eligible under title 23 of the U.S. Code or otherwise subject to the requirements of title 23 of the U.S. Code, select whether the project will: ■ Demonstrate progress in achieving a state of good repair as required by the State's asset management plan under 23 U.S.C. 119(e); and (Yes/No) ■ Support the achievement of 1 or more performance targets of the State established under 23 U.S.C. 150. (Yes/No) ■ This project is not a project eligible under title 23 of the U.S. Code or otherwise subject to the requirements of title 23 of the U.S. Code. o Environmental Impact Attestation: The entire project scope is limited to the set of actions or activities identified by DOT as meeting the criteria for categorical exclusion as listed under 23 CFR 771.116(c)(1)-(22), 771.117(c)(1)-(30), and 771.118(c)(1)-(16). These actions do not involve unusual circumstances, as described in 23 CFR 771.116(b), 771.117(b), and 771.118(b). o Requirements Attestation: The project satisfies the requirements of titles 23, 40, and 49 of the U.S. Code that apply to this project and the associated DOT implementing regulations. o Limitation on Operating Expenses Attestation (only for Urbanized Formula Grants, Fixed Guideway Capital Investment Grants, Formula Grants for Rural Areas, State of Good Repair Grants, or Grants for Buses and Bus Facilities): The SLFRF funds associated with this project are not being used for operating expenses. For EC 9.3: Non-federal share requirements for a Surface Transportation project or repaying a TIFIA loan o Select the DOT program for which you are using SLFRF funds to satisfy non- federal share requirements or to repay a TIFIA loan ■ INFRA Grants ■ Fixed Guideway Capital Investment Grants ■ Mega Grants ■ Projects eligible for credit assistance under the TIFIA program ■ Repayment of TIFIA loan o FAIN number(s) for associated DOT projects Coronavirus State and Local Fiscal Recovery Funds Compliance and Reporting Guidance 39 0 U.S. DEPARTMENT OF THE TREASURY 14. Title I (EC 10) — Collection began October 2023 (see supplemental guidance related to environmental review requirements): • Environmental Review Type: Indicate the type of environmental review required by the project: o Exempt Activity (per 24 CFR 58.34(a)) o Categorically Excluded and not subject to 24 CFR 58.5 (per 24 CFR 58.35(b)) with no extraordinary circumstances (per 24 CFR 58.35(c)) o Other - Upload the Treasury Approved Environmental Certification, Treasury Approved Public Notice, Treasury Approved Proof of Posting Public Notice and Treasury Approved Authority to Use Grant Funds Notice. (See supplemental guidance related to environmental review requirements). • Supplement, Not Supplant Attestation: The SLFRF funds used for this project are supplementing not supplanting other federal, state, territorial, Tribal, and local government funds (as applicable) otherwise available for such uses. • Requirements Attestation: The project satisfies the requirements of title I of the Housing and Community Development Act of 1974 that apply to this project and the associated HUD implementing regulations. • Does this Title I project relate to broadband infrastructure? (Yes/No). • For non -Tribal government recipients: o Designate which of the three National Objectives the project aligns to: ■ Benefit low- and moderate -income persons ■ Prevent of eliminate slums or blight ■ Meet other particularly urgent community development needs o Labor Standards Attestation: All labor standards requirements applicable under this eligible use category have been satisfied by the recipient. o For Tribal government recipients: Are you satisfying the definition of "low and moderate income" for the primary objective requirement based on project beneficiaries receiving or being eligible to receive needs -based services provided by the Tribe, instead of relying on Census data? Needs -based services are defined as services administered by the Tribal government on the basis of an individual's income. o If yes: Attestation: The project beneficiaries are receiving or are eligible to receive needs -based services provided by the Tribal government. 15. Costs Associated with Satisfying Certain Legal and Administrative Requirements of the SLFRF Program After December 31, 2024 (EC 7.3) — Collection began in July 2024: Recipients may use this EC to report estimated expenses of certain legal and administrative costs to be expended after the obligation deadline. These expenses are discussed in FAQ 17.10, and include: • Reporting and compliance requirements, including subrecipient monitoring • Single Audit costs • Record retention and internal control requirements • Property standards • Environmental requirements, including applicable requirements of the National Environmental Policy Act, section 106 of the National Historic Preservation Act, the Archaeological Resources Protection Act of 1979, and the Native American Graves Protection and Repatriation Act • Civil rights and nondiscrimination requirements Please note this is not an exhaustive list of the legal and administrative requirements that are considered obligated. In addition, please note that relevant expenses under this EC do not include all legal and administrative expenses, but only those relating to a requirement Coronavirus State and Local Fiscal Recovery Funds Compliance and Reporting Guidance 40 0 U.S. DEPARTMENT OF THE TREASURY under federal law or regulation or a provision of the SLFRF award terms and conditions to which the recipient becomes subject as a result of receiving or expending SLFRF funds. Recipients should only report such .expenses if they are not obligated and reported through another mechanism, such as a contract, subaward, interagency agreement, or personnel cost estimate, as discussed above in section c. Recipients may report relevant expenses under this EC in the aggregate through a single project. Recipient should report: • Estimated expenses to cover relevant legal and administrative requirements of SLFRF in 2025, 2026, and award closeout • Current period expenditures pursuant to the estimate • Description of relevant administrative and legal expenses • Explanation of how the figure for the estimated funds to cover relevant administrative and legal expenses was determined The Project & Expenditure Report will prompt the recipient to report "subaward data" for individuals or entities expected to be paid pursuant to the estimate of relevant administrative and legal expenses reported under this expenditure category. Because the recipient may not have precise identifying information for the individuals or entities which will eventually receive payments pursuant to the estimate, in the intervening period, the recipient may enter a single "Direct Payment" entry that provides the address and other information of the agency, department, or part of government responsible for undertaking such administrative and legal expenses. As discussed in the Obligation IFR and elaborated in FAQ 17.10, relevant expenses under EC 7.3 are considered obligated by virtue of a federal law or regulation or a provision of the SLFRF award terms and conditions to which the recipient becomes subject as a result of receiving or expending SLFRF funds. Therefore, recipients are not required to independently meet the obligation requirement via a subaward, contract, or other similar transaction requiring payment for such expenditures. Reporting such expenditures as obligated through a Direct Payment serves as a placeholder given that the estimated expenditures are already considered obligated. Recipients will have the ability to add additional subaward-type entries after the obligation deadline for reporting expenditures made for relevant administrative and legal purposes pursuant to the estimate. Recipients should add such entries after the expenditures are made. As with all other expenditures, recipients should ensure that all expenditures made pursuant to the estimate are reported to Treasury with the applicable identifying information. Alongside these reporting requirements, a recipient must document and keep on file a reasonable justification for how the estimate was determined. This reasonable justification is distinct from the explanation of how the estimate was determined, which will be submitted in the Project & Expenditure Report. The explanation submitted in the Project & Expenditure Report should provide a summary of how the recipient calculated the estimate. The reasonable justification kept on file may include a discussion of the recipient's expectations that eligible administrative and legal costs will continue to be paid in future periods and may include relevant documentation. In determining an appropriate estimate for eligible expenses, a recipient may wish to consult the following sections of the Uniform Guidance: • 2 CFR 200.403 — Factors affecting allowability of costs • 2 CFR 200.404 — Reasonable costs • 2 CFR 200.430(i) — Standards for Documentation of Personnel Expenses I. Required Programmatic Data for Water, Sewer, and Broadband Infrastructure Proiects (EC 5): For all projects listed under the Water, Sewer, and Broadband Expenditure Categories (see Appendix Coronavirus State and Local Fiscal Recovery Funds Compliance and Reporting Guidance 41 0 U.S. DEPARTMENT OF THE TREASURY 1), more detailed project -level information is required. Each project will be required to report expenditure data as described above, but will also report the following information: 1. All water, sewer, and broadband infrastructure projects (EC 5) — Collection began in January 2022: • Projected/actual construction start date (month/year) • Projected/actual initiation of operations date (month/year) , • Location • For projects over $10 million (based on expected total cost): a. A recipient may provide a certification that, for the relevant project, all laborers and mechanics employed by contractors and subcontractors in the performance of such project are paid wages at rates not less than those prevailing, as determined by the U.S. Secretary of Labor in accordance with subchapter IV of chapter 31 of title 40, United States Code (commonly known as the "Davis -Bacon Act"), for the corresponding classes of laborers and mechanics employed on projects of a character similar to the contract work in the civil subdivision of the State (or the District of Columbia) in which the work is to be performed, or by the appropriate State entity pursuant to a corollary State prevailing -wage -in -construction law (commonly known as "baby Davis -Bacon Acts"). If such certification is not provided, a recipient must provide a project employment and local impact report detailing: ■ The number of employees of contractors and sub -contractors working on the project; ■ The number of employees on the project hired directly and hired through a third party; ■ The wages and benefits of workers on the project by classification; and ■ Whether those wages are at rates less than those prevailing.20 Recipients must maintain sufficient records to substantiate this information upon request. b. A recipient may provide a certification that a project includes a project labor agreement, meaning a pre -hire collective bargaining agreement consistent with section 8(f) of the National Labor Relations Act (29 U.S.C. 158(f)). If the recipient does not provide such certification, the recipient must provide a project workforce continuity plan, detailing: ■ How the recipient will ensure the project has ready access to a sufficient supply of appropriately skilled and unskilled labor to ensure high -quality construction throughout the life of the project, including a description of any required professional certifications and/or in-house training; ■ How the recipient will minimize risks of labor disputes and disruptions that would jeopardize timeliness and cost-effectiveness of the project; ■ How the recipient will provide a safe and healthy workplace that avoids delays and costs associated with workplace illnesses, injuries, and fatalities, including descriptions of safety training, certification, and/or licensure requirements for all relevant workers (e.g., OSHA 10, OSHA 30); ■ Whether workers on the project will receive wages and benefits that will secure an appropriately skilled workforce in the context of the local or regional labor market; and ■ Whether the project has completed a project labor agreement. c. Whether the project prioritizes local hires. d. Whether the project has a Community Benefit Agreement, with a description of any such agreement. 20 As determined by the U.S. Secretary of Labor in accordance with subchapter IV of chapter 31 of title 40, United States Code (commonly known as the "Davis -Bacon Act"), for the corresponding classes of laborers and mechanics employed on projects of a character similar to the contract work in the civil subdivision of the State (or the District of Columbia) in which the work is to be performed. Coronavirus State and Local Fiscal Recovery Funds Compliance and Reporting Guidance 42 0 U.S. DEPARTMENT OF THE TREASURY 2. Water and sewer proiects (EC 5.1-5.18) Required once the project starts: • National Pollutant Discharge Elimination System (NPDES) Permit Number (if applicable; for projects aligned with the Clean Water State Revolving Fund) (Collection began in January 2022) • Public Water System (PWS) ID number (if applicable; for projects aligned with the Drinking Water State Revolving Fund) (Collection began January 2022) • Median Household Income of service area (Collection began in April 2022) • Lowest Quintile Income of the service area (Collection began in April 2022) 3. Broadband projects (EC 5.19-5.21) Collection includes new fields that began in July 2022. Additional fields will be phased in through future reporting periods, as noted below. Overall Project Information • Confirm that the project is designed to, upon completion, reliably meet or exceed symmetrical 100 Mbps download and upload speeds. o If the project is not designed to reliably meet or exceed symmetrical 100 Mbps download and upload speeds, explain why not, and o Confirm that the project is designed to, upon completion, meet or exceed 100 Mbps download speed and between at least 20 Mbps and 100 Mbps upload speed, and be scalable to a minimum of 100 Mbps download speed and 100 Mbps upload speed. • Confirm that the service provider for the project has, or will upon completion of the project, either participated in the Federal Communications Commission (FCC)'s Affordable Connectivity Program (ACP) or otherwise provided access to a broad -based affordability program that provides benefits to households commensurate with those provided under the ACP to low-income consumers in the proposed service area of the broadband infrastructure (applicable only to projects that provide service to households). Detailed Project Information • Project technology type(s) (Planned/Actual) o Fiber o Coaxial Cable o Terrestrial Fixed Wireless o Other (specify) • Total miles of fiber deployed (Planned/Actual) • Total number of funded locations served (Planned/Actual) o Total number of funded locations served, broken out by speeds: ■ Pre-SLFRF Investment: • Number receiving 25/3 Mbps or below • Number receiving between 25/3 Mbps and 100/20 Mbps ■ Post-SLFRF Investment (Planned/Actual): • Number receiving minimum 100/100 Mbps • Number receiving minimum 100/20 Mbps and scalable to minimum 100/100 Mbps o Total number of funded locations served, broken out by type (Planned/Actual): ■ Residential • Total Housing Units ■ Business ■ Community anchor institution Speed tiers offered, corresponding non -promotional prices, including associated fees, and data allowance for each speed tier of broadband service (collection to be phased in a future reporting period) Location -by -Location Project Information Coronavirus State and Local Fiscal Recovery Funds Compliance and Reporting Guidance 43 0 U.S. DEPARTMENT OF THE TREASURY For each location served by a Project, the recipient must collect from the subrecipient or contractor and submit the following information to Treasury using a predetermined file format that will be provided by Treasury (collection of certain fields will begin in October 202Z as specified below): • Latitude/longitude at the structure where service will be installed (required starting October 2022)Technology used to offer service at the location (required starting October 2022) • Location type (required starting October 2022) o Residential ■ If Residential, Number of Housing Units o Business o Community anchor institution • Speed tier at the location pre-SLFRF investment (collection to be phased in) 0 25/3 Mbps or below o Between 25/3 Mbps and 100/20 Mbps • Speed and latency at the location post-SLFRF investment (collection to be phased in) o Maximum download speed offered o Maximum download speed delivered o Maximum upload speed offered o Maximum upload speed delivered O Latency • Standardized FCC Identifiers O Fabric ID # (Broadband Serviceable Fabric Locations) o FCC Issued Provider ID # rn. Additional Required Programmatic Data for States, U.S. territories, and metropolitan cities and counties with a population that exceeds 250,000 residents only: As noted in the Recovery Plan Performance Report section of this guidance, states, U.S. territories, and metropolitan cities and counties with a population over 250,000 are required to provide additional data in the Project and Expenditure report for projects in the following expenditure categories. Treasury recognizes that recipients are reporting a broad set of projects under the following expenditure categories. It may be the case that a recipient is reporting a project under an expenditure category that is an eligible use of SLFRF funds for that expenditure category, in accordance with the 2022 final rule, but is not designed to meet the associated performance indicators. In these instances, recipients may report a "0" in these data fields. As described in the Performance Report section of the Recovery Plan Performance Report section, recipients have discretion on the full suite of performance indicators for inclusion in their Recovery Plans, including the list of required data for each expenditure category, where relevant. Use of Evidence (for relevant ECs noted in Appendix 1)—Collection began April 2022 • The dollar amount of the total project spending that is allocated towards evidence -based interventions • Whether a program evaluation of the project is being conducted 2. Household Assistance (EC 2.2), Long -Term Housing Security (EC 2.15-2.16) and Housing Support (EC 2.17-2.18): • Number of households receiving eviction prevention services (including legal representation) • Number of affordable housing units preserved or developed 3. Assistance to Unemployed or Underemployed Workers (EC 2.10) and Community Violence Interventions (EC 1.11): , • Number of workers enrolled in sectoral job training programs Coronavirus State and Local Fiscal Recovery Funds Compliance and Reporting Guidance 44 0U.S. DEPARTMENT OF THE TREASURY • Number of workers completing sectoral job training programs • Number of people participating in summer youth employment programs 4. Addressing Educational Disparities (EC 2.24-2.26) and Addressing Impacts of Lost Instructional Time (EC 2.27): • Number of students participating in evidence -based tutoring programs21 5. Healthy Childhood Environments (EC 2.11-2.14): • Number of children served by childcare and early learning services (pre-school/pre-K/ages 3-5) • Number of families served by home visiting n. NEU Documentation (NEUs only): Each NEU is also required to provide the following information once its accounts are established in Treasury's Reporting Portal and prior to the due date for their first Project and Expenditure Report (due April 30, 2022): • Copy of the signed award terms and conditions agreement (which was signed and submitted to the State as part of the request for funding) • Copy of the signed assurances of compliance with Title VI of the Civil Rights Act of 1964 (which was signed and submitted to the State as part of the request for funding) • Copy of actual budget documents validating the top -line budget total provided to the State as part of the request for funding NEU accounts are established in Treasury's Portal based on information provided by the States or territories, as further described in Section Part 2 D below. C. Recovery Plan Performance Report States, territories, and metropolitan cities and counties with a population that exceeds 250,000 residents (i.e.,, Tier 1 recipients) will also be required to publish and submit to Treasury a Recovery Plan performance report ("Recovery Plan"). Each Recovery Plan must be posted on an easily discoverable webpage on the public -facing website of the recipient by the same date the recipient submits the report to Treasury. Treasury recommends that Recovery Plans be accessible within three clicks or fewer from the homepage of the recipient's website. Within Treasury's reporting portal, recipients must upload a link to the publicly available Recovery Plan and provide required data. The Recovery Plan provides the public and Treasury both retrospective and prospective information on the projects recipients are undertaking or planning to undertake with program funding and how they are planning to ensure program outcomes are achieved in an effective, efficient, and equitable manner. While this guidance outlines some minimum requirements for the Recovery Plan, each recipient is encouraged to add information to the plan that they feel is appropriate to provide information to their constituents on efforts they are taking to respond to the pandemic and promote economic recovery. Each jurisdiction may determine the general form and content of the Recovery Plan, as long as it includes the minimum information required by Treasury. Treasury provided a template (located at www.treasury.gov/SLFRP) but recipients may modify this template as appropriate for their jurisdiction, provided the modified template meets Treasury's requirements, outlined below. Through the Recovery Plan, recipients may link to public documents, including, but not limited to, legislation, dashboards, survey results, community engagement reports, and equity frameworks to support the Recovery Plan narrative. The Recovery Plan should include key performance indicators identified by the recipient and some mandatory indicators identified by Treasury, as noted below. 21 For more information on evidence -based tutoring programs, refer to the U.S. Department of Education's 2021 ED COVID-19 Handbook (Volume 2), which summarizes research on evidence -based tutoring programs (see the bottom of page 20. Coronavirus State and Local Fiscal Recovery Funds Compliance and Reporting Guidance 45 m U.S. DEPARTMENT OF THE TREASURY The initial Recovery Plan covered the period from the date of award to July 31, 2021 and was required to be submitted to Treasury by August 31, 2021, or 60 days after receiving funding. Thereafter, the Recovery Plan will cover a 12-month period and recipients are required to submit the report to Treasury after the end of the 12-month period by July 31. The Recovery Plan should include both retrospective information covering the time period of the Recovery Plan along with prospective information on future work to be undertaken with SLFRF funds or on the planning that has been undertaken during the covered period. Table 5 summarizes the report timelines: Table 5 Recovery Plan Timeline Report 1 PeriodAnnual -. Award Date — July 31, 2021 Due Date August 31, 2021 or 60 days after receiving funding 2 July 1, 2021 —June 30, 2022 July 31, 2022 3 July 1, 2022—June 30, 2023 July 31, 2023 4 July 1, 2023—June 30, 2024 July 31, 2024 5 July 1, 2024 — June 30, 2025 July 31, 2025 6 July 1, 2025—June 30, 2026 July 31, 2026 7 July 1, 2026 — December 31, 2026 Aril 30, 2027 Recovery Plans submitted as part of reporting are used by Treasury, third party organizations, the public, and other stakeholders to obtain a comprehensive understanding of SLFRF's largest recipients' planned and actual usage of SLFRF funding, including the jurisdiction's policy goals, its strategy for achieving them, and specific projects or initiatives underway. Alignment of data reported in Project and Expenditure reports and Recovery Plans is expected by both Treasury and SLFRF's many stakeholders. Finally, Recovery Plans will be posted publicly by Treasury to provide transparency about how program funds are being used by recipient governments. The Recovery Plan must include, at a minimum, the following information: 1. Executive Summary In this section, recipients should provide a high-level overview of the jurisdiction's intended and actual uses of funding including, but not limited to: the jurisdiction's strategy, goals, and plan for using Fiscal Recovery Funds to respond to the pandemic and promote economic recovery, key outcome goals, progress to date on those outcomes, and any noteworthy challenges or opportunities identified during the reporting period. 2. Uses of Funds In this section, recipients should describe in further detail the strategy and goals of their jurisdiction's SLFRF program, such as how their jurisdiction's approach would help support a strong and equitable recovery from the COVID-19 pandemic and economic downturn. Recipients should describe how their intended and actual uses of funds will achieve their goals. Given the broad eligible uses of funds established by the 2022 final rule and the 2023 IFR and the specific needs of different jurisdictions, recipients should also explain how the funds would support the communities, populations, or individuals in their jurisdiction. Recipients should describe how their use of funds supports their overall strategy and goals in the following areas: a. Public Health (EC 1): As relevant, describe how funds are being used to respond to COVID-19, the broader health impacts of COVID-19, and the COVID-19 public health emergency, including community violence interventions and behavioral health. b. Negative Economic Impacts (EC 2): As relevant, describe how funds are being used to respond to negative economic impacts of the COVID-19 public health emergency, including services to households (such as affordable housing, job training, and childcare), small businesses, non- profits, and impacted industries. Coronavirus State and Local Fiscal Recovery Funds Compliance and Reporting Guidance 46 0 U.S. DEPARTMENT OF THE TREASURY c. Public Health -Negative Economic Impact: Public Sector Capacity (EC 3): As relevant, describe how funds are being used to support public sector workforce and capacity, including public sector payroll, rehiring of public sector workers, and building of public sector capacity. d. Premium Pay (EC 4): As relevant, describe the approach, goals, and sectors or occupations served in any premium pay program. Describe how the approach prioritizes low-income workers and/or any particular group of eligible workers. e. Water, sewer, and broadband infrastructure (EC 5): As relevant, describe the approach, goals, and types of projects being pursued. Where relevant, recipients should note how projects contribute to addressing climate change and/or how projects benefit disadvantaged communities in line with the Justice40 Initiative.22 f. Revenue Replacement (EC 6): Describe the loss in revenue, including if electing the standard allowance, due to the COVID-19 public health emergency, and how funds have been used to provide government services, including any funds used under revenue loss for non-federal cost - share or matching requirements of other federal programs. g. Emergency Relief from Natural Disasters (EC 8): As relevant, describe how funds are being used to provide emergency relief from natural disasters that have occurred or are expected to occur imminently, or are threatened to occur in the future. h. Surface Transportation (EC 9): As relevant, describe how funds are being used to support projects eligible under the 26 transportation programs specified in the Consolidated Appropriations Act, 2023. i. Title I (EC 10): As relevant, describe how funds are being used for activities that are eligible under section 105(a) of the Housing and Community Development Act of 1974 (Title I projects), which are the activities eligible under the Community Development Block Grant (CDBG) and Indian Community Development Block Grant (ICDBG) programs. If appropriate, recipients may also include information on their jurisdiction's use (or planned use) of other federal recovery funds, including other programs under the American Rescue Plan such as Emergency Rental Assistance, the Homeowner Assistance Fund, the Capital Projects Fund, the State Small Business Credit Initiative, and so forth, to provide broader context on the overall approach for pandemic recovery. Jurisdictions may also address use of SLFRF funds in coordination with, or in preparation for, funding available through the Infrastructure Investment and Jobs Act. 3. Promoting equitable outcomes Treasury encourages uses of funds that advance strong, equitable growth, including economic and racial equity. For the purposes of the SLFRF, equity is described in the Executive Order 13985 On Advancing Racial Equity and Support for Underserved Communities Through the Federal Government, as issued on January 20, 2021. Recipients also are encouraged to review the definition and discussion of equity in Executive Order 14091, Further Advancing Racial Equity and Support for Underserved Communities Through the Federal Government, as issued on February 16, 2023. In this section, recipients should describe, as applicable, their efforts to promote equitable outcomes, including economic and racial equity, and their efforts to design, implement, and measure their SLFRF program and projects with equity in mind. In describing their efforts to design their SLFRF program and projects with equity in mind, recipients may consider the following: 22 See Executive Order 14008, on Tackling the Climate Crisis at Home and Abroad; OMB, CEQ, & CPO, M- 21-28,lnterim Implementation Guidance for the Justice40 Initiative (July 20, 2021) https://www.whitehouse.gov/wp-content/uploads/2021/07/M-21-28.pdf; OMB, CEQ, & CPO, M-23-09, Addendum to the Interim Implementation Guidance for the Justice40 Initiative, M-21-28, on using the Climate and Economic Justice Screening Tool (CEJST) (Jan. 27, 2023), https://www.whitehouse.gov/wp- content/uploads/2023/01/M-23-09 Signed CEQ CPO.pdf Coronavirus State and Local Fiscal Recovery Funds Compliance and Reporting Guidance 47 :': U.S. DEPARTMENT OF THE TREASURY a. Goals: Are there particular historically underserved, marginalized, or adversely affected groups that recipients intend to serve within their jurisdiction? b. Awareness: How equitable and practical is the ability for residents or businesses to become aware of the services funded by SLFRF? c. Access and Distribution: Are there differences in levels of access to benefits and services across groups? Are there administrative requirements that result in disparities in ability to complete applications or meet eligibility criteria? d. Outcomes: How are intended outcomes focused on closing gaps and/or reaching universal levels of service? How is the considering disaggregating outcomes by race, ethnicity, and other equity dimensions where relevant for the policy objective? In describing their efforts to implement their SLFRF program and projects with equity in mind, recipients may consider the following: a. Goals and Targets: Please describe how planned or current uses of funds prioritize economic and racial equity as a goal, name specific targets intended to produce meaningful equity results at scale, and include initiatives to achieve those targets. b: Proiect Implementation: In addition, please explain how the jurisdiction's overall equity strategy translates into focus areas for SLFRF projects and the specific services or programs offered by the jurisdiction in the following Expenditure Category, as indicated in the 2022 final rule. Negative Economic Impacts (EC 2): assistance to households, small businesses, and non- profits to address impacts of the pandemic, which have been most severe among low-income populations. This includes assistance with food, housing, and other needs; employment programs for people with barriers to employment who faced negative economic impacts from the pandemic (such as residents of low-income neighborhoods, minorities, disconnected youth, the unemployed, formerly incarcerated people, veterans, and people with disabilities); services to provide long-term housing security and housing supports, address educational disparities, or provide child care and early learning services; and other strategies that provide impacted and disproportionately impacted communities with services to address the negative economic impacts of the pandemic The first annual Recovery Plan, due in 2021, was required to describe initial efforts and intended outcomes to promote equity, as applicable. Beginning in 2022, each annual Recovery Plan must provide an update, using qualitative and quantitative data, on how the recipients' approach achieved or promoted equitable outcomes or progressed against equity goals during the performance period, as applicable. Each jurisdiction should describe any constraints or challenges that impacted project success in terms of increasing equity. In particular, this section should describe the geographic and demographic distribution of funding, including whether it is targeted toward traditionally marginalized communities (recipients may reference the demographic data information in their Project and Expenditure Reports as relevant). 4. Community Engagement In this section, recipients should describe how their jurisdiction's planned or current use of funds incorporates community engagement strategies including written feedback through surveys, project proposals, and related documents; oral feedback through community meetings, issue -specific listening sessions, stakeholder interviews, focus groups, and additional public engagement; as well as other forms of input, such as steering committees, taskforces, and digital campaigns that capture diverse feedback from the community. Recipients may describe completed or planned community engagement strategies specifically focused on their SLFRF program and projects or community .engagement strategies that included SLFRF among other government programs. Recipients should also describe how community engagement strategies support their equity goals, including engagement with communities that have historically faced significant barriers to services, such as people of color, people with low incomes, limited English proficient populations, and other traditionally underserved groups. Coronavirus State and Local Fiscal Recovery Funds Compliance and Reporting Guidance 48 0 U.S. DEPARTMENT OF THE TREASURY 5. Labor Practices In this section, recipients should describe workforce practices on any infrastructure projects or capital expenditures being pursued. How are projects using strong labor standards to promote effective and efficient delivery of high -quality infrastructure projects while also supporting the economic recovery through strong employment opportunities for workers? For example, report whether any of the following practices are being utilized: project labor agreements, community benefits agreements, prevailing wage requirements, and local hiring. 6. Use of Evidence In this section of the Recovery Plan, recipients should describe whether and how evidence -based interventions and/or program evaluation are incorporated into their SLFRF program. Recipients may include links to evidence standards, evidence dashboards, evaluation policies, and other public facing tools that are used to track and communicate the use of evidence and evaluation for Fiscal Recovery Funds. Recipients are encouraged to consider how a learning agenda, either narrowly focused on SLFRF or broadly focused on the recipient's broader policy agenda, could support their overarching evaluation efforts in order to create an evidence -building strategy for their jurisdiction.23 In the Project Inventory section of the Recovery Plan (see Section 8 below), recipients should identify whether SLFRF funds are being used for evidence -based interventions24 and/or if projects are being evaluated through rigorous program evaluations that are designed to build evidence. In the Project Inventory, recipients must briefly describe the goals of the project and the evidence base for the interventions funded by the project. As part of the Project Inventory section, recipients must also specifically identify the dollar amount of the total project spending that is allocated towards evidence - based interventions for each project in the Expenditure Categories noted with an asterisk in Appendix 1. Please note that to increase consistency, the Project and Expenditure report now also includes fields for recipients to identify the dollar amount of the total project spending that is allocated to evidence -based interventions and to indicate if a program evaluation of the project is being conducted. Recipients are encouraged to reference relevant evidence clearinghouses, among other sources, to assess the level of evidence for their interventions and identify evidence -based models that could be applied in their jurisdiction; such evidence clearinghouses include the U.S. Department of Education's What Works Clearinghouse, the U.S. Department of Labor's CLEAR, and the Childcare & Early Education Research Connections and the Home Visiting Evidence of Effectiveness clearinghouses from Administration for Children and Families, as well as other clearinghouses relevant to particular projects conducted by the recipient. Recipients are exempt from reporting on evidence -based interventions in cases where a program evaluation is being conducted. In such cases where a recipient is conducting a program evaluation, recipients must describe the evaluation design, including whether it is a randomized or quasi - experimental design; the key research questions being evaluated; whether the study has sufficient statistical power to disaggregate outcomes by demographics; and the timeframe for the completion of the evaluation (including a link to the completed evaluation if relevant).25 Once the evaluation has been completed, recipients must post the evaluation publicly and link to the completed evaluation in the Recovery Plan. Once an evaluation has been completed (or has sufficient interim findings to determine the efficacy of the intervention), recipients should determine whether the spending for the evaluated interventions should be counted towards the dollar amount categorized as evidence -based for the relevant project. For all projects, recipients may be selected to participate in a national evaluation, which might, for example, study their project along with similar projects in other jurisdictions that are focused on the 23 For more information on learning agendas, please see OMB M-19-23 24 As noted in Appendix 2, evidence -based refers to interventions with strong or moderate levels of evidence. 25 For more information on the required standards for program evaluation, see OMB M-20-12. Coronavirus State and Local Fiscal Recovery Funds Compliance and Reporting Guidance 49 0 U.S. DEPARTMENT OF THETREASURY same set of outcomes. In such cases, recipients may be asked to share information and data that is needed for the national evaluation. Appendix 2 contains additional information on evidence -based interventions for the purposes of the Recovery Plan. 7. Performance Report In this section, recipients should describe how performance management is incorporated into their SLFRF program, including how they are tracking their overarching jurisdictional goals for these funds as well as measuring results for individual projects. The recipient has flexibility in terms of how this information is presented in the Recovery Plan, and may report key performance indicators for each project, or may group projects with substantially similar goals and the same outcome measures. In some cases, the recipient may choose to include some indicators for each individual project as well as crosscutting indicators. Recipients may include links to performance management dashboards, performance management policies, and other public facing tools that are used to track and communicate the performance of Fiscal Recovery Funds. In addition to outlining in this section their high-level approach to performance management, recipients must also include key performance indicators for each SLFRF project in the Project Inventory section (described below in #8). I_ Performance indicators should include both output and outcome measures. Output measures, such as the number of students enrolled in an early learning program, provide valuable information about the early implementation stages of a project. Outcome measures, such as the percent of students reading on grade level, provide information about whether a project is achieving its overall goals. Recipients are encouraged to use logic models26 to identify their output and outcome measures. While the initial Recovery Plan focused heavily on early output goals, recipients should include the related outcome goal for each project and provide updated information on achieving these outcome goals in subsequent annual reports. In cases where recipients are conducting a program evaluation for a project (as described above), the outcome measures in the performance report should be aligned with those being evaluated in the program. As described in the 2022 final rule, to support their performance measurement and program improvement efforts, recipients are permitted to use funds to make improvements to data or technology infrastructure and data analytics, as well as perform program evaluations. While recipients have discretion on the full suite of performance indicators to include, a number of mandatory performance indicators and programmatic data must be included. These are necessary to allow Treasury to conduct oversight as well as understand and aggregate program outcomes across recipients. This section provides an overview of the mandatory performance indicators and programmatic data. This information should be included in the Project Inventory, but this data will also need to be entered directly into the Treasury reporting portal as part of the Project and Expenditure report, as Treasury has added these fields (for Tier 1 recipients only) to the Project and Expenditure report. Below is a list of required data for each Expenditure Category, where relevant. a. Household Assistance (EC 2.2), Long -Term Housing Security (EC 2.15-2.16) and Housing Support (EC 2.17-2.18): • Number of households receiving eviction prevention services (including legal representation) • Number of affordable housing units preserved or developed b. Assistance to Unemployed or Underemployed Workers (EC 2.10) and Community Violence Interventions (EC 1.11): • Number of workers enrolled in sectoral job training programs • Number of workers completing sectoral job training programs 26 A logic model is a tool that depicts the intended links between program investments and outcomes, specifically the relationships among the resources, activities, outputs, outcomes, and impact of a program. Coronavirus State and Local Fiscal Recovery Funds Compliance and Reporting Guidance 50 { U.S. DEPARTMENT OF THE TREASURY • Number of people participating in summer youth employment programs c. Addressing Educational Disparities (EC 2.24-2.26) and Addressing Impacts of Lost Instructional Time (EC 2.27): • Number of students participating in evidence -based tutoring programs27 d. Healthy Childhood Environments (EC 2.11-2.14): • Number of children served by childcare and early learning services (pre-school/pre-Wages 3- 5) • Number of families served by home visiting The initial report should have included the key indicators above. Each annual report thereafter should include updated data for the performance period as well as prior period data, and a brief narrative adding any additional context to help the reader interpret the results and understand any changes in performance indicators over time. To the extent possible, Treasury also encourages recipients to provide data disaggregated by race, ethnicity, gender, income, and other relevant factors. 8. Project Inventory In this section, recipients should list the name and provide a brief description of each SLFRF funded project. Projects are defined as a grouping of closely related activities that together are intended to achieve a specific goal or are directed toward a common purpose. These activities can include new or existing eligible government services or investments funded in whole or in part by SLFRF funding. For each project, recipients should include the project name, funding amount, identification number (the same identification number created by the recipient that matches the identification number used in the quarterly Project and Expenditure Report), project Expenditure Category (see Appendix 1), and a description of the project that includes an overview of the main activities of the project, approximate timeline, primary delivery mechanisms and partners, and intended outcomes. Each jurisdiction should also include a link to the website of the project if available. This information will provide context and additional detail for the information reported quarterly in the Project and Expenditure Report. For infrastructure projects, where relevant, recipients should describe how the project contributes to addressing climate change and/or advances the Justice40 Initiative28, which sets a target of providing 40 percent of the overall benefits of certain federal investments, including climate and clean energy investments to disadvantaged communities. As noted above in section 6, the Project Inventory must also include information about the dollar amount of the total project spending that is allocated towards evidence -based interventions (or describe how projects are being evaluated as noted above). As described above in section 7, the Project Inventory must also contain information about the performance indicators for each project, including both those measures that recipients have defined for each project as well as the mandatory performance indicators defined by Treasury. Recipients have flexibility in the presentation and format of their Project Inventory, provided it includes the minimum required information. Recipients have the option of downloading a spreadsheet of the information entered into their Project and Expenditure Report to assist them in creating the Project Inventory in their Recovery Plan. However, recipients must ensure that their Project Inventory contains the additional information required by this guidance, including but not limited to information' about performance measures and evidence/evaluation for each project. In all cases, recipients must 27 For more information on evidence -based tutoring programs, refer to the U.S. Department of Education's 2021 ED COVID-19 Handbook (Volume 2), which summarizes research on evidence -based tutoring programs (see the bottom of page 20.). 28 See Executive Order 14008, On Tackling the Climate Crisis at Home and Abroad and the Interim Implementation Guidance for the Justice40 Initiative, OMB M-21-28. Coronavirus State and Local Fiscal Recovery Funds Compliance and Reporting Guidance 51 0U.S. DEPARTMENT OF THE TREASURY post publicly (and submit to Treasury) a single PDF file of their Recovery Plan, which includes the Project Inventory. f D. Distributions to NEUs Each state and territory is required to provide regular updates on their NEU distributions as well as their distributions to units of general local government within counties that are not units of general local government. The distribution template generally requests information on whether the local government has (1) received funding; (2) declined funding and requested a transfer to the state under Section 603(c)(4) of the Act; or (3) not taken action on its funding or declined funding. For NEUs, states and territories should be prepared to report on their information, including the following: • NEU name • NEU UEI number J• NEU Taxpayer Identification Number (TIN) • NEU Recipient Number (a unique identification code for each NEU assigned by the State or territory to the NEU as part of the request for funding) • NEU contact information (e.g., address, point of contact name, point of contact email address, and point of contact phone number) • NEU authorized representative name and email address • Initial allocation and, if applicable, subsequent allocation to the NEU (before application of the 75 percent cap) • Total NEU reference budget (as submitted by the NEU to the State or territory as part of the request for funding) • Amount of the initial and, if applicable, subsequent allocation above 75 percent of the NEU's reference budget which will be returned to Treasury • Payment amount(s) • Payment date(s) States with "weak" minor civil divisions (i.e., Illinois, Indiana, Kansas, Missouri, Nebraska, North Dakota, Ohio, and South Dakota) should also list any minor civil divisions that the state deemed ineligible. For each eligible NEU that declined funding and requested a transfer to the state under Section 603(c)(4) of the Social Security Act, the state or territory must also attach a form signed by the NEU, as detailed in the Guidance on Distributions of Funds to Non -Entitlement Units of Local Government. Coronavirus State and Local Fiscal Recovery Funds Compliance and Reporting Guidance 52 "= U.S. DEPARTMENT OF THE TREASURY Appendix 1: Expenditure Categories Treasury's 2022 final rule provides greater flexibility and simplicity for recipients to fight the pandemic and support families and businesses struggling with its impacts, maintain vital services amid revenue shortfalls, and build a strong, resilient, and equitable recovery. As such, recipients began reporting on a broader set of eligible uses and associated Expenditure Categories ("EC"), starting with the April 2022 Project and Expenditure Report.than they did in their interim reports, initial Recovery Plans, and January 2022 Project and Expenditure Report. The table below includes the ECs from the 2022 final rule, as well as a reference to previous ECs aligned with the 2021 IFR and used for reporting before this date. Treasury's 2023 IFR describes how recipients may use SLFRF funds to provide emergency relief from natural disasters, build surface transportation infrastructure, and support community development. This table was updated in September 2023 to reflect the new eligible uses described in the 2023 IFR. The ECs listed below must be used to categorize each project as noted in Part 2 above. The term "Expenditure Category" refers to the detailed level (e.g., 1.1 COVID-19 Vaccination). When referred to as a category (e.g., EC 1) it includes all ECs within that level. *Denotes areas where recipients must identify the amount of the total funds that are allocated to evidence -based interventions (see Use of Evidence section above for details) ^Denotes areas where recipients must report on whether projects are primarily serving disproportionately impacted communities (see Project Demographic Distribution section above for details) Expenditure.. 1: Public Health COVIb- 9-Mitt ation & Prevent_ion COVID-19 Vaccination 1.1 1.1 COVID-19 Testin A 1.2 1.2 COVID-19 Contact Tracin A 1.3 1.3 Prevention in Congregate Settings (Nursing Homes, Prisons/Jails, Dense Work Sites, Schools, Child care facilities, etc. *^ 1.4 1.4 Personal Protective E ui ment^ 1.5 1.5 Medical Expenses(including Alternative Care Facilities)A 1.6 1.6 Other COVID-19 Public Health Expenses (including Communications, Enforcement, Isolation/Quarantine)^ 1.7 1.8 COVID-19 Assistance to Small Businesses^ 1.8 - COVID 19 Assistance to Non -Profits^ 1.9 - COVID-19 Aid to Impacted Industries^ 1.10 - Community, Violence Interventions Community Violence Interventions*^ 1.11 3.16 =Beliav oiral Health Mental Health Services*^ 1.12 1.10 Substance Use Services*^ 1.13 1.11 Other Other Public Health Services^ 1.14 1.12 29 Under the 2022 final rule to be used starting with April 2022 reports or the 2023 IFR to be used starting with the October 2023 reports 30 Under the 2021 IFR to be used in Interim Report and January 2022 Project and Expenditure Report Coronavirus State and Local Fiscal Recovery Funds Compliance and Reporting Guidance 53 aUS. DEPARTMENT OF THE.TREASURY Previous Expenditure Category EC3' Capital Investments or Physical Plant Changes to Public Facilities that _ respond to the COVID-19 public health emergency 1.7 2: M Ube Economic Impacts: Assistance to Households Household Assistance: Food Pro rams*^ 2.1 2.1 Household Assistance: Rent, Mortgage, and Utility Aid *A 2.2 2.2 Household Assistance: Cash Transfers *A 2.3 2.3 Household Assistance: Internet Access Pro rams*^ 2.4 2.4 Household Assistance: Paid Sick and Medical Leave 2.5 - Household Assistance: Health Insurance *A 2.6 - Household Assistance: Services for Un/Unbanked*^ 2.7 - Household Assistance: Survivor's Benefits^ 2.8 - Unemployment Benefits or Cash Assistance to Unemployed Workers *A 2.9 2.6 Assistance to Unemployed or Underemployed Workers (e.g. job training, subsidized employment, employment supports or incentives *^ 2.10 2.7 Healthy Childhood Environments: Child Care *A 2.11 3.6 Healthy Childhood Environments: Home Visitin *^ 2.12 3.7 Healthy Childhood Environments: Services to Foster Youth or Families Involved in Child Welfare System *A 2.13 3.8 Healthy Childhood Environments: Early Learnin *^ 2.14 3.1 Long-term Housing Security: Affordable Housing *^ 2.15 3.10 Long-term Housing Security: Services for Unhoused Persons*^ 2.16 3.11 Housing Support: Housing Vouchers and Relocation Assistance for DisproportionatelyImpacted Communities *A 2 17 - Housing Support: Other Housing Assistance *A 2.18 3.12 Social Determinants of Health: Community Health Workers or Benefits Navigators *A 2.19 3.14 Social Determinants of Health: Lead Remediation*^ 2.20 3.15 Medical Facilities for Disproportionately Impacted Communities^ 2.21 - Strong Healthy Communities: Neighborhood Features that Promote Health and Safet ^ 2 22 - Strong Healthy Communities: Demolition and Rehabilitation of Pro erties^ 2.23 - Addressing Educational Disparities: Aid to High -Poverty Districts^ 2.24 3.2 Addressing Educational Disparities: Academic, Social, and Emotional Services*^ 2.25 3.3 Addressing Educational Disparities: Mental Health Services*^ 2.26 3.4 Addressing Impacts of Lost Instructional Time 2.27 - Contributions to UI Trust Funds^ 2.28 2.8 Ass stance, to S%malLBusi_n_esses Loans or Grants to Mitigate Financial Hardshi ^ 2.29 2.9 Technical Assistance, Counseling, or Business Plannin *^ 2.30 Rehabilitation of Commercial Properties or Other Im rovements^ 2.31 - Business Incubators and Start -Up or Expansion Assistance*^ 2.32 Enhanced Support to Microbusinesses*^ 2.33 .Assistance to Non-Piofts Assistance to Impacted Nonprofit Organizations (Impacted or Disproportionately Impacted)^ 2.34 2.10 Ai'dtd rn acted .Industries Aid to Tourism, Travel, or Hospitality^ 2.35 2.11 Coronavirus State and Local Fiscal Recovery Funds Compliance and Reporting Guidance 54 0U.S. DEPARTMENT OF THE TREASURY • • o -•• Aid to Other Impacted Industries^ 2.36 1 2.12 Other , Economic Impact Assistance: Other" 2.37 2.13 Household Assistance: Eviction Prevention *A - 2.5 Education Assistance: Other*" - 3.5 Healthy Childhood Environments: Other*" - 3.9 Social Determinants of Health: Other *A - 3.13 3: Public Health -Negative Economic Impact: Public Sector Capacity General Provisions Public Sector Workforce: Payroll and Benefits for Public Health, Public Safety, or Human Services Workers 3.1 1.9 Public Sector Workforce: Rehiring Public Sector Staff 3.2 2.14 Public Sector Workforce: Other 3.3 - Public Sector Capacity: Effective Service Delivery 3.4 7.2 Public Sector Capacity: Administrative Needs 4:Pr_eniium Pa Public Sector Employees 4.1 4.1 Private Sector: Grants to Other Employers 4.2 4.2 5: Water; Sewer, and Broadband Infrastructure Water and $gwer Clean Water: Centralized Wastewater Treatment 5.1 5.1 Clean Water: Centralized Wastewater Collection and Conveyance 5.2 5.2 Clean Water: Decentralized Wastewater 5.3 5.3 Clean Water: Combined Sewer Overflows 5.4 5.4 Clean Water: Other Sewer Infrastructure 5.5 5.5 Clean Water: Stormwater 5.6 5.6 Clean Water: Energy Conservation 5.7 5.7 Clean Water: Water Conservation 5.8 5.8 Clean Water: Nonpoint Source 5.9 5.9 Drinking water: Treatment 5.10 5.10 Drinking water: Transmission & Distribution 5.11 5.11 Drinking water: Lead Remediation, including in Schools and Da cares 5.12 5.12 Drinking water: Source 5.13 5.13 Drinking water: Storage 5.14 5.14 Drinking water: Other water infrastructure 5.15 5.15 Water and Sewer: Private Wells 5.16 - Water and Sewer: IIJA Bureau of Reclamation Match 5.17 - Water and Sewer: Other 5.18 - Broadband Broadband: "Last Mile" projects 5.19 5.16 Broadband: IIJA Match 5.20 - Broadband: Other pro ects 5.21 5.17 6: Revenue Re lacement Provision of Government Services 6.1 6.1 Non-federal Match for Other Federal Programs 6.2 - T- Adr iniistrative Administrative Expenses 7.1 7.1 Transfers to Other Units of Government 7.2 7.3 Transfers to Non -entitlement Units States and territories only) - 7.4 Coronavirus State and Local Fiscal Recovery Funds Compliance and Reporting Guidance 55 0 U.S. DEPARTMENT OF THE TREASURY i Expenditure Category Costs Associated with Satisfying Certain Legal and Administrative Requirements of the SLFRF Program After December 31, 2024 7.3 Previous , 8: EmergencyEmergeopy Relief from Natural Disasters Temporary Emergency Housing 8.1 - Food Assistance 8.2 - Financial Assistance for Lost Wages 8.3 - Other Immediate Needs: Emergency Protective Measures 8.4 - Other Immediate Needs: Debris Removal 8.5 - Other Immediate Needs: Public Infrastructure Repair 8.6 - Other Immediate Needs: Home Repairs for Uninhabitable Primary Residences 8.7 - Other Immediate Needs: Cash Assistance for Uninsured or Underinsured Expenses 8.8 - Other Immediate Needs: Cash Assistance for Low Income Households 8.9 - Other Immediate Needs: Increased Operational and Payroll Costs 8.10 - Other Emergency Relief: Natural Disaster that Has Occurred/Expected to Occur Imminent) 8.11 - Mitigation Activities 8.12 Other Emergency Relief: Natural Disaster that is Threatened to Occur in the Future 8.13 - 9: Surface Trans ortat!'on..ro ects y_ Surface Transportation Projects receiving funding from DOT 9.1 - Surface Transportation Projects not receiving funding from DOT: Streamlined Framework 9.2 - Non-federal share requirements for a Surface Transportation project or re a in a TIFIA loan 9.3 - '10:_Tifle-I:. ro`ects Acquisition of real property 10.1 - Acquisition, construction, reconstruction, or installation of public works, sites, or other public purposes 10.2 - Code enforcement in deteriorated or deteriorating areas 10.3 - Clearance, demolition, removal, reconstruction, and rehabilitation 10.4 - Removal of barriers restricting mobility and accessibility of elderly and handicapped persons 10.5 - Payments to housing owners for losses of rental income for holding units for relocation of displaced persons 10.6 - Disposition or retention of real property 10.7 - Provision of public services 10.8 - Payment of non-federal match or cost -share requirements of a federal financial assistance program in support of activities that would be eligible under Title 1 10.9 - Payment of the cost of completing a project funded under title I of the Housing Act of 1949 10.10 Relocation payments and assistance for displaced individuals, families, businesses, organizations, and farm operations 10.11 - Community development plan or policy -planning -management capacity development 10.12 - Payment of reasonable administrative costs related to establishing and administering federally approved enterprise zones, administering the HOME program, or planning and executing community development and housing activities. 10.13 - Coronavirus State and Local Fiscal Recovery Funds Compliance and Reporting Guidance 56 0U.S. DEPARTMENT OF THE TREASURY Previous Expenditure / • , Provision of assistance for activities carried out by public or private nonprofit entities 10.14 - Assistance to carry out a neighborhood revitalization or community economic development or energy conservation project, or for development of shared housing opportunities 10.15 - Development of energy use strategies 10.16 - Assistance to private, for -profit entities to carry out economic development projects 10.17 - Rehabilitation or development of housing assisted under 42 U.S.C. 1437o 10.18 - Technical assistance to public or nonprofit entities to increase their capacity to carry out neighborhood revitalization or economic development activities 10.19 - Housing services 10.20 - Assistance to institutions of higher education 10.21 - Assistance to public and private organizations, agencies, and other entities to facilitate economic development 10.22 - Activities necessary to make essential repairs and to pay operating expenses to maintain habitability of housing units acquired through tax foreclosure proceedings 10.23 - Direct assistance to facilitate and expand homeownership 10.24 - Construction or improvement of tornado -safe -shelters and assistance to nonprofit and for -profit entities for such construction or improvement 10.25 - Lead -based paint hazard evaluation and reduction 10.26 - Coronavirus State and Local Fiscal Recovery Funds Compliance and Reporting Guidance 57 0U.S. DEPARTMENT OF THE TREASURY Treasury has prepared the additional guidance below to support recipients in implementing the new expenditure categories. This table includes only those previous expenditure categories that are changing under the new structure, aligned with the 2022 final rule. January 202ZExpenditure CategoriesApril 2022Guidance 1: Public Health 1.7 Capital Investments or Physical Plant Changes EC removed, capital expenditures can be to Public Facilities that respond to the COVID- designated in any relevant PH-NEI EC 19 public health emergency (e.g., new hospital wing would be tracked under EC 1.4 1.8 Other COVID-19 Public Health Expenses EC is 1.7 (including Communications, Enforcement, Isolation/Quarantine 1.9 Payroll Costs for Public Health, Safety, and EC is 3.1 Other Public Sector Staff Responding to COVID-19 1.10 Mental Health Services* EC is 1.12 1.11 Substance Use Services* EC is 1.13 1.12 Other Public Health Services EC is 1.14 Z Negative Economic Impacts 2.5 Household Assistance: Eviction Prevention EC is now included as part of 2.2 2.6 Unemployment Benefits or Cash Assistance to EC is 2.9 Unemployed Workers* 2.7 Job Training Assistance (e.g., Sectoral job- EC is 2.10 training, Subsidized Employment, Employment Supports or Incentives)*A 2.8 Contributions to UI Trust Funds EC is 2.28 2.9 Small Business Economic Assistance If public -health related (e.g., providing (General)*' rapid tests for small businesses), EC is 1.8; if related to negative economic impact eligible use (e.g., grants, technical assistance, rehabilitation, incubators, or microbusinesses), EC is 2.29-2.33 2.1.0 Aid to Nonprofit Organizations* If public -health related (e.g., providing rapid tests for non -profits), EC is 1.9; if related to negative economic impact (e.g., grants to stabilize non-profit budget), EC is 2.34 2.11 Aid to Tourism, Travel, or Hospitality EC is 2.35 2.12 Aid to Other Impacted Industries EC is 2.36 2.13 Other Economic Support *A EC is 2.37, re -named Other Economic Impact 2.14 Rehiring Public Sector Staff EC is 3.2 3: Services4o Disproportionately impacted �Cdrnmunl es 3.1 Education Assistance: Early Learning*" EC is 2.14 3.2 Education Assistance: Aid to High -Poverty EC is 2.24 Districts A 3.3 Education Assistance: Academic Services*^ EC is 2.25, social and emotional services will now be tracked under this EC 3.4 Education Assistance: Social, Emotional, and EC is 2.26, if social and emotional Mental Health Services*" services, EC is 2.25; 3.5 Education Assistance: Other *A EC is 2.37, collected under Other Economic Impact Coronavirus State and Local Fiscal Recovery Funds Compliance and Reporting Guidance 58 0U.S. DEPARTMENT OF THE TREASURY January 2022 Expendituree• April 2022Guidance 3.6 Healthy Childhood Environments: Child Care *A EC is 2.11 3.7 Healthy Childhood Environments: Home EC is 2.12 Visitin *^ 3.8 Healthy Childhood Environments: Services to EC is 2.13 Foster Youth or Families Involved in Child Welfare S stem*^ 3.9 Healthy Childhood Environments: Other *A EC is 2.37, collected under Other Economic Impact 3.10 Housing Support: Affordable Housing*^ EC is 2.15 3.11 Housing Support: Services for Unhoused EC is 2.16 Persons*^ 3.12 Housing Support: Other Housing Assistance*" EC is 2.18 3.13 Social Determinants of Health: Other *A EC is 2.37, collected under Other Economic Impact 3.14 Social Determinants of Health: Community EC is 2.19 Health Workers or Benefits Navigators *A 3.15 Social Determinants of Health: Lead EC is 2.20 RemediationA 3.16 Social Determinants of Health: Community EC is 1.11 Violence Interventions*^ 5.: Infrastructure 5.16 Broadband: "Last Mile" projects EC is 5.19 5.17 Broadband: Other projects EC is 5.20 7: Administrative 7.2 Evaluation and Data Analysis EC is 3.4 and has been renamed Effective Service Delivery 7.3 Transfers to Other Units of Government EC is 7.2 7.4 Transfers to Non -entitlement Units (States and To be separately reported as part of territories only) NEU/Non-UGLG module. Refer to Part 2 Section D. Coronavirus State and Local Fiscal Recovery Funds Compliance and Reporting Guidance 59 0 U.S. DEPARTMENT OF THE TREASURY Appendix 2: Evidenced -Based Intervention Additional Information What is evidence -based? For the purposes of the SLFRF, with the exception of investments in educational services (see additional information below), evidence -based refers to interventions with strong or moderate evidence as defined below: Strong evidence means that the evidence base can support causal conclusions for the specific program proposed by the applicant with the highest level of confidence. This consists of one or more well -designed and well -implemented experimental studies conducted on the proposed program with positive findings on one or more intended outcomes. Moderate evidence means that there is a reasonably developed evidence base that can support causal conclusions. The evidence base consists of one or more quasi -experimental studies with positive findings on one or more intended outcomes OR two or more non -experimental studies with positive findings on one or more intended outcomes. Examples of research that meet the standards include: well -designed and well -implemented quasi -experimental studies that compare outcomes between the group receiving the intervention and a matched comparison group (i.e., a similar population that does not receive the intervention). Preliminary evidence means that the evidence base can support conclusions about the program's contribution to observed outcomes. The evidence base consists of at least one non -experimental study. A study that demonstrates improvement in program beneficiaries over time on one or more intended outcomes OR an implementation (process evaluation) study used to learn about and improve program operations would constitute preliminary evidence. Examples of research that meet the standards include: (1) outcome studies that track program beneficiaries through a service pipeline and measure beneficiaries' responses at the end of the program; and (2) pre- and post-test research that determines whether beneficiaries have improved on an intended outcome. For investments in educational services, "evidence -based", consistent with the American Rescue Plan Act, has the meaning in section 8101(21) of the Elementary and Secondary Education Act of 1965, as amended (20 U.S.C. 6301 et seg.). Please see page 16 of this Frequently Asked Questions resource on the Department of Education's Elementary and Secondary School Emergency Relief Programs and Governor's Emergency ,Education Relief Programs for more information. Coronavirus State and Local Fiscal Recovery Funds Compliance and Reporting Guidance 60 0U.S. DEPARTMENT OF THE TREASURY Appendix 3: Expenditure Categories aligned with the 2021 Interim Final Rule . 1.1 COVID-19 Vaccination ^ 1.2 COVID-19 Testing ^ 1.3 COVID-19 Contact Tracing 1.4 Prevention in Congregate Settings (Nursing Homes, Prisons/Jails, Dense Work Sites, Schools, etc.)* 1.5 Personal Protective Equipment 1.6 Medical Expenses (including Alternative Care Facilities) 1.7 Capital Investments or Physical Plant Changes to Public Facilities that respond to the COVID-19 public health emergency 1.8 Other COVID-19 Public Health Expenses (including Communications, Enforcement, Isolation/Quarantine 1.9 Payroll Costs for Public Health, Safety, and Other Public Sector Staff Responding to COVID-19 1.10 Mental Health Services* 1.11 Substance Use Services* 1.12 Other Public Health Services Negative.. 2.1 Household Assistance: Food Programs* A 2.2 Household Assistance: Rent, Mortgage, and Utility Aid* A 2.3 Household Assistance: Cash Transfers* A 2.4 Household Assistance: Internet Access Programs* A 2.5 Household Assistance: Eviction Prevention* ^ 2.6 Unemployment Benefits or Cash Assistance to Unemployed Workers* 2.7 Job Training Assistance (e.g., Sectoral job -training, Subsidized Employment, Employment Supports or Incentives)* A 2.8 Contributions to UI Trust Funds 2.9 Small Business Economic Assistance (General)* " 2.10 Aid to Nonprofit Organizations* 2.11 Aid to Tourism, Travel, or Hospitality 2.12 Aid to Other Impacted Industries 2.13 Other Economic Support* A 2.14 Rehiring Public Sector Staff Services 3.1 . Disproportionately .. Education Assistance: Early Learning* A 3.2 Education Assistance: Aid to High -Poverty Districts A 3.3 Education Assistance: Academic Services* ^ 3.4 Education Assistance: Social, Emotional, and Mental Health Services* A 3.5 Education Assistance: Other* A 3.6 Healthy Childhood Environments: Child Care* A 3.7 Healthy Childhood Environments: Home Visiting* A 3.8 Healthy Childhood Environments: Services to Foster Youth or Families Involved in Child Welfare System* ^ 3.9 Healthy Childhood Environments: Other* " 3.10 Housing Support: Affordable Housing* A 3.11 Housing Support: Services for Unhoused Persons* A Coronavirus State and Local Fiscal Recovery Funds Compliance and Reporting Guidance 61 ' U.S. DEPARTMENT OF THE TREASURY 3.12 Housing Support: Other Housing Assistance` ^ 3.13 Social Determinants of Health: Other* ^ 3.14 Social Determinants of Health: Community Health Workers or Benefits Navigators* ^ 3.15 Social Determinants of Health: Lead Remediation A 3.16 Social Determinants of Health: Community Violence Interventions* ^ 4.1 Public Sector Employees 4.2 Private Sector: Grants to Other Employers ,ILS: Infrastructure 5.1 Clean Water: Centralized Wastewater Treatment 5.2 Clean Water: Centralized Wastewater Collection and Conveyance 5.3 Clean Water: Decentralized Wastewater 5.4 Clean Water: Combined Sewer Overflows 5.5 Clean Water: Other Sewer Infrastructure 5.6 Clean Water: Stormwater 5.7 Clean Water: Energy Conservation 5.8 Clean Water: Water Conservation 5.9 Clean Water: Nonpoint Source 5.10 _Drinking water: Treatment 5.11 Drinking water: Transmission & Distribution 5.12 Drinking water: Transmission & Distribution: Lead Remediation 5.13 Drinking water: Source 5.14 Drinking water: Storage 5.15 Drinking water: Other water infrastructure 5.16 Broadband: "Last Mile" projects 5.17 Broadband: Other projects 6.1 Provision of Government Services Administrative 7.1 Administrative Expenses 7.2 Evaluation and Data Analysis 7.3 Transfers to Other Units of Government 7.4 Transfers to Non -entitlement Units (States and territories only) 7.5 Costs Associated with Satisfying Certain Legal and Administrative Requirements of the SLFRF Program After December 31, 2024 Coronavirus State and Local Fiscal Recovery Funds Compliance and Reporting Guidance 62 0 U.S. DEPARTMENT OF THE TREASURY Gevicinn 1 nn June 17, 2021 e e' Initial publication 1.0 1.1 June 24, 2021 a Pg. 12, removed references to "summary" level with respect to reporting by Expenditure Categories in the Interim Report to avoid confusion. Pg. 13, revised the coverage period end date for the Interim Report from June 30, 2021 to July 31, 2021 to align with the IFR. • Pg. 13, removed references to "summary" level with respect to reporting by Expenditure Categories in the Interim Report to avoid confusion. • Pg. 31, removed references to "summary level" with respect to Expenditure Categories in Appendix 1 to avoid confusion. 1.1 September 30, 2021 a Announced the extension in the Project and Expenditure Report submission date, originally due on October 31, 2021. 2.0 November 5, 2021 a Updated Subrecipient Monitoring section to clarify beneficiaries and recipients. • Updated references to 2021 Interim Final Rule comment period as comment period is closed. • Updated reporting tiers, thresholds and timelines in Part 2 Table 2, Reporting Requirements by recipient type, as well as Part 2 A and Part 2 B. • Updated reporting periods for Interim Report and Project and Expenditure reports. • Added concept of Adopted Budget to Project and Expenditure Report data fields. • Noted phase in of Required Programmatic Data in the Project and Expenditure Report. • Removed certain data fields from the Ineligible Activities: Tax Offset Provision under the Recovery Plan. • Separated reporting of NEU Distributions (for States and territories) from the Interim Report and Project and Expenditure Reports as information will be provided on an ongoing basis. 2.1 November 15, 2021 . Updated pages 9 and 11 to note that civil rights certification is not applicable to Tribal Governments. 3.0 February 28, 2022 . Updated to incorporate reporting updates under the 2022 final rule 4.0 June 10, 2022 . Updated Recovery Plan guidance to incorporate minor revisions • Updated language around certain data fields that were required for April 2022 reporting • Updated data fields for Ineligible Activities: Tax Offset Provision for the Project and Expenditure report • Updated Broadband data fields 4.1 June 17, 2022 . Updated clerical errors in Ineligible Activities: Tax Offset Provision 4.2 August 15, 2022 . Updated to clarify resources for Uniform Guidance applicability and add a reference to an alternative to the Single Audit available for eligible recipients 5.0 September 20, 2022 a Updated to note phase in of broadband location by location data fields 5.1 June 1, 2023 Updated to include Fabric ID and Provider ID fields for broadband location by location data collection. Coronavirus State and Local Fiscal Recovery Funds Compliance and Reporting Guidance 63 0 U.S. DEPARTMENT OF THE TREASURY IWIM1611 of •' • Updated to reflect changes from the 2023 Interim Final 5.2 September 27, 2023 Rule • Updated reporting related to subrecipients' Unique Entity Identifier UEI 5.3 November 30, 2023 • Additional guidance associated with additional programmatic data (performance indicators) required from Tier 1 recipients 5.4 December 14, 2023 • Update related to Unique Entity Identifier (UEI) requirements 6.0 March 28, 2024 • Updated to reflect new expenditure category from the Obligation IFR: Costs associated with satisfying certain legal and administrative requirements under the SLFRF award • Updated upload requirement for certain Title I projects 7.0 June 28, 2024 Updated to reflect requirements for reporting estimates for personnel costs, contract change order and contingency costs, and certain administrative and legal costs to be expended after the obligation deadline • Updated to reflect requirements for reporting the obligation of funds via interagency agreements 8.0 October 15, 2024 • Updated to reflect discussion in the P&E User Guide on how recipients should report projects under the revenue loss eligible use category • Updated to provide clarity on how recipients should report "subaward type" information for certain estimated expenses • Updated to provide clarity regarding obligation of administrative costs Coronavirus State and Local Fiscal Recovery Funds Compliance and Reporting Guidance 64 COUNTY OF HAWAVI DEPARTMENT OF FINANCE GENERAL TERMS AND CONDITIONS FOR GOODS AND SERVICES May 10, 2023 0 TABLE OF CONTENTS PURPOSE................................................................................................................................... 6 SECTION1 - DEFINITIONS OF TERMS...................................................................................... 7 SECTION2 — SOLICITATION....................................................................................................14 2.1 ORDER OF PRECEDENCE; CONFLICTING PROVISIONS..........................................14 2.2 SOLICITATION FORMS...................................................................................................14 2.3 COUNTY'S ESTIMATES..................................................................................................14 2.4 PRE -BID OR PRE -PROPOSAL CONFERENCE............................................................14 2.5 PRICE ITEMS.................................................................................................................15 2.6 BRAND NAMES, MODEL, MAKE, OR METHOD.............................................................15 2.7 NO SUBSTITUTES ON RESTRICTIVE SPECIFICATIONS.............................................16 " 2.8 REQUESTS FOR CLARIFICATION............... ................................................................... 16 2.9 SOLICITATION ADDENDA............................................................................................16 2.10 CANCELLATION OF SOLICITATION...................................................0........................17 SECTION 3 - OFFER REQUIREMENTS AND CONDITIONS...................................................18 3.1 COMPETENCY OF OFFEROR.......................................................................................18 3.2 BROCHURES, SPECIFICATIONS, AND QUESTIONNAIRES.......................................18 3.3 PREPARATION OF OFFER.............................................................................................19 3.4 OFFER GUARANTY......................................................................................................20 3.5 CERTIFICATION OF OFFEROR CONCERNING WAGES, HOURS AND WORKING CONDITIONS OF EMPLOYEES SUPPLYING SERVICES.........................................................20 3.6 CERTIFICATE OF COST OR PRICING DATA..................................................................21 3.7 PROPRIETARY OR CONFIDENTIAL..............................................................................21 3.8 OFFER SUBMISSION.....................................................................................................21 3..9 PRE- OPENING MODIFICATION OR WITHDRAWAL OF OFFER...............................21 SECTION 4 RECEIPT, OPENING, AND RECORDING OF BIDS.........................................23 4.1 PUBLIC BID OPENING OF IFB ELECTRONIC SOLICITATIONS AND OTHER NON- ELECTRONIC SOLICITATIONS...................................................:...........................................23 4.2 RECEIPT OF RFPs (ELECTRONIC AND NON -ELECTRONIC SUBMISSIONS) ...........24 4.3 LATE OFFERS, LATE WITHDRAWALS, AND LATE MODIFICATIONS... .......................25 SECTION 5 EVALUATION OF OFFERS...........................................................0..................26 5.1 MISTAKES IN IFBs........................................................................................................26 5.2 MISTAKES IN RFPs.........................................................................................................27 5.3 [Reserved]......................................................................................................................27 5.4 DISQUALIFICATION OF OFFERORS ........... :................................................................ 28 5.5 STANDARDS OF CONDUCT..........................................................................................29 2 0 5.6 [Reserved].........................................................................................................................29 5.7 MULTIPLE OR ALTERNATE OFFERS............................................................................29 5.8 CONDITIONED OFFERS................................................................................................29 5.9 NON -RESPONSIVE OFFERS OR NON -RESPONSIBLE OFFERORS ..........................29 5.10 REJECTION OF OFFERS..............................................................................................29 SECTION 6 DISCUSSION AND BEST AND FINAL OFFER.................................................30 6.1 PRIORITY LISTED OFFERS..........................................................................................30 6.2 DISCUSSIONS................................................................................................................30 6.3 BEST AND FINAL OFFERS............................................................................................30 SECTION7 -PREFERENCES....................................................................................................31 7.1 [Reserved].......................................................................................................................31 7.2 PREFERENCE FOR HAWAI`I PRODUCTS.....................................................................31 SECTION 8 AWARD AND EXECUTION OF CONTRACT....................................................32 8.1 INVITATION FOR BID SOLICITATIONS..........................................................................32 8.2 LOW TIE BIDS FOR IFB SOLICITATIONS....................................................................32 8.3 ACCEPTANCE OF OFFER............................................................................................32 8.4 EXECUTION OF CONTRACT...........................................................................................33 8.5 CONTRACT BOND............................................................................................................34 8.6 FAILURE TO EXECUTE CONTRACT............................................................................34 8.7 RETURN OF OFFER GUARANTIES.............................................................................35 8.8 SUBMISSION OF INSURANCE CERTIFICATION........................................................35 8.9 CANCELLATION OF AWARD........................................................................................35 SECTION 9 DEBRIEFING, PROTEST, SUSPENSION & DEBARMENT AND SOLICITATIONS & AWARDS IN VIOLATION OF LAW............................................................36 9.1 DEBRIEFING...................................................................................................................36 9.2 COMPLAINTS AND PROTESTS.......................................................................................36 9.3 AUTHORITY TO DEBAR OR SUSPEND.......................................................................37 9.4 SOLICITATIONS OR AWARDS IN VIOLATION OF LAW...............................................37 SECTION 10 -PERFORMANCE OF CONTRACT.......................................................................38 10.1 INDEPENDENT CONTRACTOR.....................................................................................38 10.2 CONSTRUCTION OF CONTRACT.................................................................................38 10.3 COMPLIANCE WITH CONTRACT TERMS, ETC..........................................................38 10.4 EXAMINATION OF SITE.................................................................................................38 10.5 PRICE INCLUSIVE OF ALL APPLICABLE TAXES.........................................................38 10.6 CHANGE ORDERS AND MODIFICATIONS..................................................................39 10.7 LIQUIDATED DAMAGES.................................................................................................3.9 10.8 DELIVERY........................................................................................................................39 3 10.9 NOTICE TO PROCEED...................................................................................................40 10.10 DISPUTES......................................................................................................................40 10.11 REMEDIES ........................................ ........................................................................ :....... 40 10.12 COUNTY'S RIGHT OF OFFSET.....................................................................................40 10.13 TIME IS OF THE ESSENCE.............................................................................................41 SECTION 11 - LEGAL RELATIONS AND RESPONSIBILITY...................................................42 11.1 LAWS TO BE OBSERVED..............................................................................................42 11.2 WARRANTY OF TITLE............................................................................................ 11.3 COPYRIGHT...................................................................................................................42 11.4 INFRINGEMENT INDEMNIFICATION.:.............................................................................43 11.5 SUBCONTRACTING AND ASSIGNING...........................................................................43 11.6 ASSIGNMENT OF ANTITRUST CLAIMS.......................................................................43 11.7 INDEMNIFICATION........................................................................................................43 11.8 PERSONAL LIABILITY OF PUBLIC OFFICIALS.............................................................43 11.9 [Reserved].........................................................................................................................44 11.10 RECORD RETENTION AND RIGHT TO AUDIT RECORDS...........................................44 11.11 NON-DISCRIMINATION..................................................................................................44 11.12 RESPONSIBILITY OF CONTRACTOR AND TAX CLEARANCE....................................45 11.13 CAMPAIGN CONTRIBUTIONS BY STATE AND COUNTY CONTRACTORS ...............46 SECTION 12 - MODIFICATIONS AND TERMINATIONS OF CONTRACTS .............................47 12.1 GENERAL.......................................................................................................................47 12.2 CONTRACT CHANGE ORDERS....................................................................................47 12.3 CONTRACT MODIFICATIONS.......................................................................................48 12.4 AUTHORIZATION FOR A STOP WORK ORDER FOR GOODS AND SERVICES CONTRACTS....................................................................................................................:..........49 12.5 STOP WORK ORDERS..................................................................................................49 12.6 VARIATIONS IN QUANTITIES FOR DEFINITE QUANTITY CONTRACTS .....................50 12.7 VARIATIONS IN ESTIMATED QUANTITIES FOR INDEFINITE QUANTITY CONTRACTS............................................................................................................................50 12.8 PRICE ADJUSTMENT....................................................................................................51 12.9 NOVATION OR CHANGE OF NAME.............................................................................51 12.10 CLAIMS BASED ON A PROCUREMENT OFFICER'S ACTIONS OR OMISSIONS .......52 12.11 TERMINATION FOR DEFAULT ..................................................... ............53 12.12 TERMINATION FOR CONVENIENCE...........................................................................54 12.13 TERMINATION FOR COST -REIMBURSEMENT CONTRACTS....................................56 SECTION 13 - PAYMENT...........................................................................................................57 13.1 METHOD OF PAYMENT................................................................:................................57 4 I t i 13.2 c FINAL PAYMENT...........................................................................................................57 13.3 INTEREST........................................................................................................................:.57 13.4 PROMPT PAYMENT BY CONTRACTORS TO SUBCONTRACTORS ...........................57 SECTION14 —MISCELLANEOUS ............................................................................................60 14.1 HEADINGS....................................................................................................................60 14.2 NO WAIVER....................................................................................................................60 14.3 SEVERABILITY..............................................................................................................60 14.4 DELEGATION OF AUTHORITY TO PROCUREMENT OFFICER..................................60 14.5 DRAFTING AMBIGUITIES..............................................................................................60 14.6 AMENDMENTS.................................................................................................................60 14.7 SURVIVAL OF OBLIGATIONS.........................................................................................61 14.8 CONFIDENTIALITY OF SERVICES.................................................................................61 14.9 NO THIRD PARTY OBLIGATIONS..................................................................................61 14.10 INSOLVENCY..................................................................................................................61 14.11 ACTIONS OF THE COUNTY IN ITS GOVERNMENTAL CAPACITY..............................61 14.12 GOVERNING LAW..........................................................................................................61 14.13 COUNTERPARTS.............................................................................................................62 14.14 NOTICES REQUIRED UNDER EXECUTED CONTRACT.............................................62 EXHIBITS Exhibit A Surety Bid/Proposal Bond Exhibit B Performance Bond (Surety) Exhibit C Performance Bond Exhibit D Labor and Material Payment Bond (Surety) Exhibit E Labor and Material Payment Bond, Exhibit F Reserved Exhibit G Performance Bond (Surety) for Supplemental Agreement for Goods and Services Exhibit H Performance Bond for Supplemental Agreement for Goods and Services Exhibit I Contractor Acknowledgment Exhibit J Surety Acknowledgment 5 PURPOSE The General Terms and Conditions for Goods and Services for the County (referred to as the "general terms and conditions"), incorporated by reference in the solicitation document and the awarded contract, represent the County's policy and legal requirements relating to contracts as authorized by Hawai'i Revised Statutes ("HRS"), Chapter 103D, as amended, and its promulgated rules under Hawai'i Administrative Rules ("HAR"), Title 3, Department of Accounting and General Services (referred to as the "Procurement Code"), as amended. References to HAR provisions in these general terms and conditions are included for convenience only and may not be complete. Should any contractual term herein be inconsistent with the Procurement Code, the Procurement Code shall govern. Before submitting a bid or a proposal, the offeror shall be responsible for reading and examining the solicitation and/or proposal documents, including any offer pages, scope of work, special provisions, exhibits, these general terms and conditions, addenda (if any), and any other sections or documents attached hereto, and all applicable requirements by law. Submission of an offer shall be deemed verification of such reading and examination. No offeror shall, in any way, be relieved of any obligation with respect to its offer or the contract due to its failure or neglect to secure, receive, examine, familiarize itself with, acquaint itself with, or understand the work requirements, the solicitation and/or proposal documents, or any addenda hereto, applicable standards or requirements, or existing conditions, difficulties, restrictions or obstacles. No claim for additional compensation to the offeror shall be allowed based on lack of knowledge or misunderstanding. Con SECTION 1 - DEFINITIONS OF TERMS This section incorporates the definitions not listed herein and are contained in §103D, HRS, as amended and Title 3, Department of Accounting & General Services, Subtitle 11, Procurement Policy Board, Chapters 120 through 131, HAR, as amended. Terms as used in these general terms and conditions, unless the context requires otherwise, shall have the following meaning: ADDENDUM/ADDENDA A written document issued during the solicitation period involving changes to the solicitation documents, which shall be considered and made a part of the solicitation documents and resulting contract. AMENDMENT Amendment shall have the same meaning as "contract modification" or "modification" as hereafter defined. AWARD The notification of the County's acceptance of a bid or proposal, or the presentation of a contract to the selected offeror. BEST VALUE The most advantageous offer determined by evaluating and comparing all relevant criteria in addition to price so that the offer meeting the overall combination that best serves the County is selected. These criteria may include, but is not limited to, the total cost of ownership, performance history of the offeror, quality of goods, services, or construction, delivery, and proposed technical performance. BID The executed document submitted by a bidder in response to an invitation for bids, or a multi -step bidding procedure. n BIDDER Any individual, partnership, firm, corporation, joint venture, or other legal entity submitting, directly or through a duly authorized representative or agent, a bid for the good, service, or construction contemplated. BID OR PROPOSAL FORM The prescribed form or format which an offeror uses to submit his offer. BID OR PROPOSAL GUARANTY OR SECURITY Bid guaranty, bid security, proposal guaranty, or proposal security means the security when required, furnished by an offeror with his offer to ensure that the offeror will enter into the contract with the County and execute the required contract and payment bonds covering the work contemplated, if his offer is accepted. CHANGE ORDER A written order signed by the procurement officer, directing the contractor to make changes which the changes clause of the contract authorizes the chief procurement officer to order without the consent of the contractor. CHIEF PROCUREMENT OFFICER The procurement officer of the County (director of finance) as provided in chapter 103D-203, HRS, as amended, or the officer's designee. •► :_*Y1 The combination of the solicitation and/or proposal, including any instructions to offerors, the specifications, scope of work, the special provisions, and the general terms and conditions; the offer and any best and final offers; and any amendments to the solicitation or to the contract; and any terms implied by law. CONTRACT BOND The approved form of security furnished by the contractor and his surety or sureties or by the contractor alone, to ensure completion and satisfactory performance of the contract in accordance with the terms of the contract and to guarantee full payment of all claims for labor, materials and supplies furnished, used or incorporated in the work. CONTRACT MODIFICATION Any written alteration in specifications, delivery point, rate of delivery, period of performance, price, quantity, or other provisions of any contract accomplished by mutual action of the parties to the contract. CONTRACTOR An individual, partnership, firm, corporation, joint venture or other legal entity undertaking the execution of work under the terms of the contract with the County of Hawai'i, and acting directly or through his, their or its agents, employees or subcontractors. COST ANALYSIS The evaluation of cost data for the purpose of arriving at costs actually incurred or estimates of costs to be incurred, prices to be paid, and costs to be reimbursed. COST DATA Information concerning the actual or estimated cost of labor, material, overhead, and other cost elements which have been actually incurred or which are expected to be incurred by the contractor in performing the contract. N. COUNTY OR COUNTY OF HAWAII All departments of the executive branch and all governmental bodies administratively attached to it; all departments of the legislative branch and all governmental bodies administratively attached to it; and any and all autonomous and semi- autonomous government agencies which may operate under the auspices of the County. DAYS Days means calendar days unless otherwise specified. DESIGNEE A person appointed by the director of finance or the officer in charge, to act on its behalf with delegated authority. DIRECTOR The County of Hawai'i Director of Finance. DISCUSSION The exchange of information to promote understanding of a County's agency's requirements and offeror's proposal and to facilitate arriving at a contract that will be the best value to the County. Discussions are not permissible in competitive sealed bidding, except to the extent permissible in the first phase of multi -step sealed bidding to determine the acceptability of technical offers. GENERAL TERMS AND CONDITIONS General terms and conditions mean these General Terms and Conditions for Goods and Services, dated May 10, 2023. GOODS All property, including but not limited to, equipment, equipment leases, materials, supplies, printing, insurance, and processes, including computer systems and software, but excluding land or a permanent interest in land, leases of real property, and office rentals. HAR The Hawai'i Administrative Rules of the State of Hawai'i, as amended. HEAD OF THE PURCHASING AGENCY The head of any agency with delegated procurement authority by law or from a chief procurement officer of the County to enter into any and administer contracts. we 1M. The Hawaii Revised Statutes of the State of Hawaii, as amended. INVITATION FOR BIDS OR IFB All documents, whether attached or incorporated by reference, utilized for soliciting bids under the competitive sealed bidding source selection method. LOW TIE BIDS Bids from responsive, responsible bidders that are identical in price, and which meet all the requirements and criteria set forth in the invitation for bids or IFB. NOTICE TO PROCEED The document issued to the contractor designating the official commencement date of the performance under the contract. OFFER A bid or proposal as defined herein, in response to any solicitation. OFFEROR Offeror means (1) any individual, partnership, firm, corporation, joint venture or other legal entity submitting, directly or through a duly authorized representative or agent, an offer for the work or services contemplated in response to a solicitation; or (2) the contractor in a negotiated contract. OFFICER IN CHARGE The person responsible, or delegated designee, for carrying out the provisions of the contract and advising the director on contractual matters. OPENING The date set for the opening of bids, receipt of unpriced technical offers in multi -step sealed bidding, or receipt of proposals in competitive sealed proposals. OVERHEAD Continuous or general costs occurring in the normal course of business, including but not limited to, the costs for labor, rent, taxes, royalties, interest, discounts paid, insurance, bonds, lighting, heating, cooling, accounting, legal fees, equipment and facilities, telephone systems, depreciation, and amortization. PERSON Individuals, partnerships, corporation, associations, or public or private organizations or any character other than a governmental body. 10 PRICE ANALYSIS The evaluation of price data, without analysis of the separate cost components and profit as in cost analysis, which may assist in arriving at prices to be paid and costs to be reimbursed. 4 I-,K" DJ_'jra Factual information concerning prices, including profit, for goods, services, or construction substantially similar to those being procured. In this definition, "prices" refers to offered or proposed selling prices, historical selling prices, and current selling prices of such items. This definition refers to data relevant to both the general contractor and subcontract prices. PRIORITY -LISTED OFFERORS Three or more responsive and responsible offerors who have submitted the highest ranked proposals. 40410111 7M"I Buying, purchasing, renting, leasing, or otherwise acquiring any good, service, or construction. The term also includes all functions that pertain to the obtaining of any good, service, or construction, including description of requirements, selection and solicitation of sources, preparation and award of contracts, and all phases of contract administration. PROCUREMENT OFFICER The person with procurement delegation duly authorized to enter into and administer contracts and make written determinations with respect to the contract. The term includes an authorized representative acting within the limits of authority. The delegated authority is received from the chief procurement officer directly or through the head of a purchasing agency or designee to the procurement officer. PROPOSAL The executed document submitted by an in response to a request for proposals. PUBLIC PURCHASE SYSTEM The County's electronic procurement system. PURCHASING AGENCY Purchasing agency means any governmental body which is authorized by the HRS or HAR, or by way of delegation, to enter into contracts for the procurement of goods, services, or construction. 11 REQUEST FOR PROPOSALS OR RFP All documents, whether attached or incorporated by reference, utilized for soliciting proposals under the competitive sealed proposal source selection method. RESPONSIBLE BIDDER OR OFFEROR A person who has the capability in all respects to perform fully the contract requirements, and the integrity and reliability which will assure good faith performance. RESPONSIVE BIDDER OR OFFEROR A person who has submitted an offer which conforms in all material respects to the IFB or RFP. SERVICES The furnishing of labor, time, or effort by a contractor, not involving the delivery of a specific end product other than reports which are merely incidental to the required performance. SOLICITATION An invitation for bids (IFB), used in the competitive sealed bidding process, or a request for proposals (RFP), used in the competitive sealed proposal process, or a request for quotations, or any other document issued by the County for the purpose of soliciting bids or proposals to perform a County contract. SPECIAL PROVISIONS The terms and conditions pertaining to the specific solicitation in which they are contained; including but not limited to terms and conditions describing the preparation of solicitations, evaluation of offers, determination of award, plus those applicable to performance by the contractor. Additions or revisions to the general terms and conditions, which shall be considered a part of the general terms and conditions, setting forth conditions or requirements applicable to the particular project or contract under consideration shall be included in the special provisions. Should any special provisions conflict with these general terms and conditions, said special provisions shall govern. SPECIFICATIONS Any description of the physical or functional characteristics, or of the nature of a good, service, or construction item. The term includes descriptions or any requirement for inspecting, testing, or preparing a good, service, or construction item for delivery. STATE The State of Hawaii. 12 SUBCONTRACTOR Any person who enters into an agreement with the contractor to perform a portion of the work for the contractor. SURETY The individual, firm, partnership, or corporation other than the contractor, which executes a bond with and for the contractor to ensure the contractor's acceptable performance of the contract. WARRANTY A written statement that promises the good condition of a product and states that the maker is responsible for repairing or replacing the product for a certain period of time after its purchase. WORK The furnishing by the contractor of all labor, services, materials, equipment, and other incidentals necessary for the satisfactory performance of the contract. WORKING DAY Any day on the calendar, exclusive of State holidays, Saturdays, and Sundays. Unless another meaning is intended, "working days" shall mean consecutive working days. 13 SECTION 2 — SOLICITATION 2.1 ORDER OF PRECEDENCE: CONFLICTING PROVISIONS (a) The terms and conditions stated in the solicitation shall not apply to any transaction if the provisions conflict with any federal laws or if it shall prevent the County from complying with the terms and conditions of any grant, gift, bequest, or cooperative agreement. (b) The special provisions, specifications, these general terms and conditions, contract documents, and all supplemental documents are essential parts of the contract, and a requirement occurring in one is as binding as though occurring in all. Each document is intended to be complementary and describe and provide for the complete work. In case of conflict or discrepancy within any part of the contract, the stricter requirements, including State statutory requirements, shall govern. Unless it is apparent that a different order of precedence is intended, the following is the precedence list with one (i) taking precedence over two (ii), two (ii) taking precedence over three (iii), etc.: (1) Contract (2) Special Provisions (3) General Terms and Conditions (4) Specifications 2.2 SOLICITATION FORMS Prospective offerors may be furnished with solicitation forms, which may include, but is not limited to, a statement of work, the location, description and the contract time of the contemplated work, the various quantities being requested, estimated and/or firm, and items of work to be performed or materials to be furnished, along with a schedule of items for which unit prices and/or lump sum prices are asked, depending on the type of solicitation, e.g. invitation for bids or request for proposals. These general terms and conditions, specifications, special provisions and other documents referenced in or attached to the solicitation shall be considered a part of the offer whether attached to the solicitation or not at the time of its submission. Such documents shall not be altered in any way when the proposal is submitted, and any alterations so made by the offeror may be cause for rejection of the offer. 2.3 COUNTY'S ESTIMATES Any estimate provided by the County is for the convenience of the offeror only, and the County does not represent or warrant its accuracy. An offeror should conduct its own review and analysis and not base its offer on the County's estimate. 2.4 PRE -BID OR PRE -PROPOSAL CONFERENCE Pre -bid or pre -proposal conference, if held, shall be announced in the solicitation document, or in an addendum. Unless specified otherwise in the solicitation, pre -offer conferences shall be nonmandatory. Nothing stated at the pre -offer conference shall change the solicitation unless a change is made by written addendum. 14 2.5 PRICE ITEMS (a) Unless otherwise specified in the solicitation document, offerors must provide a price for all items listed in the solicitation document. (b) In figuring the offer price, offerors shall take into consideration the cost of all freight and delivery charges, insurance, taxes, permits, and other applicable or related costs/fees, unless specified otherwise. (c) The cost of furnishing and installing all equipment as called for in the specifications, including warranty repairs of the complete unit shall be included. Whenever installation is specified, installation shall include all necessary labor, materials and other incidentals required to make a complete operative unit. When an offeror is in doubt as to the proper item to which the anticipated cost of any incidental item is to be allocated, the cost in the lump sum or unit price for the items that is deemed most appropriate shall be included. (d) When alternates are provided for in the solicitation, offerors should enter a price for each and every item listed setting forth the amount to be added to, or deducted from, the offeror's total basic price should such alternate be incorporated into the contract. Failure to enter a price for each and every item may result in the offeror's offer not being considered for award, provided that if award is based on the item or items on which offers have been submitted, the offeror's offer may be considered for award. (e) Whenever required herein, offeror shall indicate the exact brand name and number, or make and model of the item on which they are bidding. Failure to do so may be sufficient cause for rejection of bid. (f) In submitting an offer, the offeror certifies that the price submitted was independently arrived at without collusion. (g) Offers in which prices are unbalanced, which contain omissions, erasures, alterations, or additions not called for, or irregularities of any kind shall be cause for rejection of an offer. (h) Prices shall remain valid for sixty (60) days after the established bid submission deadline. 2.6 BRAND NAMES, MODEL, MAKE, OR METHOD (a) Whenever one or more manufacturers' brand or trade name is specified, an offeror shall base the offer on one of the specified brands. However, other manufacturers' brands may also qualify iffound to be equal to or better than those specified. (b) The burden of proof as to whether an alternate item is equal to or superior to the item specified shall lie with the offeror. The offeror understands and agrees that the Officer in Charge reserves the sole and final right to determine whether alternate brands are equivalent to and meet indicated standards of quality. 15 2.7 NO SUBSTITUTES ON RESTRICTIVE SPECIFICATIONS Whenever the specifications restrict offers to only a specific manufacturer's make or model, offers for other products will not be accepted. 2.8 REQUESTS FOR CLARIFICATION (a) Unless otherwise specified in the solicitation or special provisions, any prospective offeror should examine and review the solicitation document with care. If a prospective offeror believes that any of the matters in, or related to, the solicitation are not sufficiently described or explained in the solicitation, or that any discrepancy exists between different parts of the solicitation, or that the full intent of the solicitation is not clear, then the offeror shall submit a written request via the County's Public Purchase System for clarification no later than five (5) days prior to the submittal deadline stated in the solicitation document. (b) The offeror submitting the inquiry shall be responsible for proper transmission. If additional information is deemed necessary, such information will be issued in an addendum by the head of the purchasing agency. The addendum will be issued via Public Purchase System (provided the solicitation or special provisions specifies that the procurement is an electronic procurement via Public Purchase System) to all persons who have properly registered and obtained the solicitation. If the solicitation or special provisions state that the procurement is via means other than through the Public Purchase System, any addendum shall be issued and provided in accordance with the solicitation and/or special provisions. All addenda issued shall be made a part of the contract. (c) If the solicitation is a RFP and, during discussions with priority -listed offerors, there is a need for any substantial clarification or change in the RFP, the RFP shall be amended by an addendum to incorporate the clarification or change. All addenda to the RFP shall be distributed only to priority -listed offerors. 2.9 SOLICITATION ADDENDA (a) All addenda issued shall be a part of the contract. Oral interpretations, clarifications, changes, or approved substitutions will be without legal effect. Only interpretations, clarifications, changes, or approved substitutions provided by formal written addenda to the solicitation shall be binding and have legal effect. Notifications of addenda will be issued to all registered vendors under the Public Purchase System. If the solicitation or special provisions state that the procurement is via means other than through the Public Purchase System, any addendum shall be issued and provided in accordance with the solicitation and/or special provisions. If the solicitation is a RFP, notifications will be sent to those offerors who submitted proposals or who are "priority listed." (b) Should an addendum modify the description- and/or quantifies of a price item, it shall be the responsibility of the offeror to modify or withdraw its submitted offer, if necessary. 16 2.10 CANCELLATION OF SOLICITATION A solicitation may be canceled in whole or in part and at any time during the solicitation process for reasons specified in, but not limited to, §3-122-96, HAR, as amended. 17 SECTION 3 - OFFER REQUIREMENTS AND CONDITIONS l 3.1 COMPETENCY OF OFFEROR (a) Prospective offerors must be capable of performing the work for which offers are being called. (b) Either before or after the deadline for an offer, the purchasing agency may require offeror to submit answers to questions regarding facilities, equipment, experience, personnel, financial status or any other factors relating to his ability to furnish satisfactorily the goods or services being solicited by the County. Any such inquiries shall be made and replied to in writing; replies shall be submitted over the signatures of the person who signs the offer. Any offeror who refuses to answer such inquiries may be considered a non -responsible offeror. (c) The purchasing agency reserves the right to visit an offeror's place of business to inspect his facilities and equipment and to observe his methods of operation in order to facilitate evaluation of performance capabilities. 3.2 BROCHURES, SPECIFICATIONS, AND QUESTIONNAIRES (a) Whenever a questionnaire is attached to the solicitation document, offerors shall complete and submit such questionnaire with their offer. Supporting specifications and brochures may be submitted wherein available. (b) The director reserves the right to request offerors to provide, at their own expense and within ten (10) days from the date of the request, all specifications and brochures regarding the item or items offered. Failure to comply with the County's request within the time specified shall be sufficient cause for rejection of the offer. (c) Whenever the preparation and submission of a questionnaire is required, all specifications and brochures submitted by the offeror shall be properly annotated identifying all applicable data on the item(s) being offered and shall fully substantiate the information requested in the questionnaire. In the event the information requested in the questionnaire cannot be substantiated by the manufacturer's specifications and brochures, the manufacturer shall certify in writing that the item(s) will be manufactured in accordance with the solicitation questionnaire and manufacturer's specifications. In answering the respective questions, offerors are warned that a response of "as specified" may not be acceptable and may also be cause for rejection of the offer. Accordingly, offerors are directed to avoid using phrases similar or comparable to "as specified" when answering the questionnaire. 3.3 PREPARATION OF OFFER (a) Proposals submitted in response to a RFP shall be in the format prescribed by the RFP. (b) The bids submitted in response to a IFB must be prepared in full accordance with the instructions and forms, if any, given by the purchasing agency. (c) Where the IFB involves the furnishing and delivery of goods, the price shall include the cost of delivery to the specified destination, at which point acceptance of said goods will be made by authorized personnel. Should special requirements involving additional costs to the vendor be necessary, the requirements will be stated in the special provisions and offers for the costs therefore shall be governed by the special provisions. (d) Only one bid in response to an IFB for the same work from an individual, firm, partnership, corporation or joint venture under the same or different name will be accepted. If more than one bid is offered for the same work, only the lowest priced bid may be considered; all others will be automatically rejected. (e) Competing subsidiary or jointly -owned companies may submit bids or proposals and these may be accepted for evaluation and award if such companies submit with their proposals a certificate of non -collusion, sworn to before a notary, which acknowledges that the offer is without collusion. (f) All prices shall include applicable federal, state and local taxes. Any illegible or otherwise unrecognizable price offer shall cause automatic rejection of the offer. (g) Offers submitted in response to an IFB or RFP shall be signed by (1) the owner of a sole proprietorship, (2) one or more members of a partnership, (3) one or more members or officers of each firm representing a joint venture, (4) one or more officers of a corporation, or (5) an agent of the offeror duly authorized to submit offers on the offeror's behalf. (h) All costs to prepare and submit an offer shall be at the offeror's expense. The County will not reimburse any offer costs, or any best and final offer costs incurred by any offeror, any prospective offeror, or any other person. 19 3.4 OFFER GUARANTY Unless required by the special provisions, a bid or proposal security deposit, performance and payment bonds, or any other guaranty is not required on any offer for goods or services. When required by the special provisions, and unless a different amount is otherwise specified in the special provisions, an acceptable bid or proposal security deposit shall be in an amount equal to at least five percent of the amount offered and shall be limited to: (a) A bond in a form satisfactory to the County underwritten by a company licensed to issue bonds in this State; (b) Legal tender; or (c) A certificate of deposit, share certificate, cashier's check, treasurer's check, teller's check, or official check drawn or a certified check accepted by, a bank, a savings institution, or credit union insured by the Federal Deposit Insurance Corporation or the National Credit Union Administration, and payable at sight or unconditionally assigned to the Director of Finance, County. A Certificate of deposit, share certificate, cashier's check, treasurer's check, teller's check, official check, or certified check may be utilized only to a maximum of $100,000.00, provided however, if the required security or bond amount totals over $100,000.00, more than one instrument not exceeding $100,000.00 each and issued by different financial institutions, may be submitted. If an offer does not comply with the security requirements, the offer shall be rejected as nonresponsive, unless the failure to comply is determined by the chief procurement officer, the head of a purchasing agency, or the designee of such officer to be nonsubstantial pursuant to §3-122-223, HAR, as amended. ' 3.5 CERTIFICATION OF OFFEROR CONCERNING WAGES, HOURS AND WORKING CONDITIONS OF EMPLOYEES SUPPLYING SERVICES When the procurement for the goods and/or services are at least $25,000 or more, the offeror is required to submit proper certification pursuant to §§ 103-55 and 103D-328, HRS, as amended. Failure to submit the required certification prior to award may be grounds for disqualification of the offeror's offer. The certification form shall be used to certify that, if awarded the contract, the offeror will comply with HRS §103-55, relating to wages, hours and working conditions of employees of contractor supplying services. The certification form further certifies that the services to be performed will be performed under the following conditions: (a) Wages. The services to be rendered shall be performed by employees paid at wages or salaries not less than the wages paid to public officers and employees for similar work. (b) Compliance with labor laws. Contractor shall be responsible for and comply with all applicable labor laws of the Federal and State governments, including workers' FIE compensation, unemployment compensation, payment of wages and safety standards. 3.6 CERTIFICATE OF COST OR PRICING DATA When an offer in response to a RFP is in excess of $100,000.00, a certificate of cost or pricing data form shall be completed and transmitted with the offeror's offer. Failure to transmit the required certification may be grounds for disqualification of the offeror's offer. The certificate of cost or pricing data shall be used to certify that the offeror's transmitted cost or pricing data is accurate, complete, and current as of the date of the offer. 3.7 PROPRIETARY OR CONFIDENTIAL Offeror shall clearly label any proprietary information as confidential, and the information shall be readily separable from the offer to facilitate public inspection of the solicitation documents. Any information labeled as confidential will remain confidential to the extent provided by law. Offers submitted to the County shall become the property of the County. Failure to label proprietary information as confidential shall result in the information being available for public inspection. 3.8 OFFER SUBMISSION (a) Electronic Submission Required When Specified in Solicitation. For solicitations posted and hosted on the Public Purchase System, all offers shall be electronically submitted via the Public Purchase System, in accordance with the requirements of the solicitation. Offers transmitted via any other means other than as specified in the solicitation shall be deemed unacceptable and shall be rejected. Offers that cannot transmit successfully as a result of system failure on the County's behalf shall be addressed via the issuance of an appropriate addendum. (b) Non -Electronic Submissions When Specified in Solicitation. The County may choose, in its sole discretion, not to use the Public Purchase System for some solicitations. In the event the County chooses not to use the Public Purchase System, the solicitation and/or special provisions shall specify how offerors shall submit offers. Offers transmitted via any other means other than as specified in the solicitation and/or special provisions shall be deemed unacceptable and shall be rejected. 3.9 PRE- OPENING MODIFICATION OR WITHDRAWAL OF OFFER Offers may be modified or withdrawn prior to the deadline for submittal of offers by the following documents: (a) Withdrawal offers. A written notice received in the office designated in the solicitation; a written notice faxed to the office designated in the solicitation; or an electronic mail (e-mail) received in the office designated in the solicitation prior to the time and date set for opening. (b) Modification of offers. A written notice accompanying the actual modification received in the office designated in the solicitation, stating that a modification to the bid or proposal is submitted; or a facsimile or electronic notice accompanying the actual modification submitted either by facsimile machine, electronic mail, or via Public 21 Purchase System to the office designated in the solicitation; provided if other than through the Public Purchase System, offeror submits the actual written notice and modification within two working days of receipt of the facsimile or the electronic transmittal. 22 SECTION 4 RECEIPT, OPENING, AND RECORDING OF BIDS 4.1 PUBLIC BID OPENING OF IFB ELECTRONIC SOLICITATIONS AND OTHER NON -ELECTRONIC SOLICITATIONS (a) For electronic IFB solicitations posted and hosted by the County on the Public Purchase System, all electronic offers shall be received up to the submittal deadline and recorded immediately. Inspection of submitted bids shall not occur until the time and date set for bid opening. (b) For electronic IFB solicitations posted and hosted by the County on the Public Purchase System, subsection (c)(3) through (8) of this section 4.1 of these GTCs shall apply. (c) For non -electronic IFB solicitations or solicitations where the County chooses not to use the Public Purchase System, the following provisions shall apply: (1) Upon its receipt, each bid and modification(s) shall be time -stamped but not opened and shall be stored in a secure place by the chief procurement officer until the time and date set for bid opening. Copies of bids transmitted via facsimile machine, by hardcopy form, or by electronic mail (e-mail) shall not be acceptable, except that bids submitted in hardcopy form may be accepted if (i) it is provided for in the special provision specific to the solicitation; and (ii) the hardcopy form of the bid is received by the chief procurement officer by the time and date set for bid opening. (2) Bids and modification(s) shall be opened publicly, in the presence of one or more witnesses, at the time, date, and place designated in the solicitation and/or special provisions. The name of each bidder, the bid price(s), and such other information as is deemed appropriate by the chief procurement officer or his designated representative, shall be read aloud or otherwise made available. If practicable, such information shall also be recorded at the time of bid opening; that is, the bids shall be tabulated, or a bid abstract made. The name(s) and address(es) of the required witnesses shall .also be recorded at the opening. (3) The opened bids shall be available for public inspection at the time of bid opening, except to the extent that the bidder designates trade secrets or other proprietary data to be confidential. Bidders shall ensure that material so designated as confidential shall be readily separable from the bid in order to facilitate public inspection of the nonconfidential portion of the bid. Prices and makes and model or catalogue numbers of items offered, deliveries, and terms of payment shall be publicly available at the time of bid opening regardless of any designation to the contrary. (4) The procurement officer, or his designated representative, shall examine the bids to determine the validity of any requests for nondisclosure of trade secrets and other proprietary data identified in writing. If the parties do not agree as to the disclosure of data, the chief procurement officer or his designated representative shall inform the bidders present at the bid opening 23 that the material designated for nondisclosure shall be subject to written determination by the corporation counsel for confidentiality. If the corporation counsel determines in writing that the material so designated as confidential is subject to disclosure, the bidder submitting the material under review and other bidders who were present at the bid opening shall be so notified in writing and the material shall be open to public inspection unless the bidder protests under §3-126, HAR, as amended. (5) The bids shall be open to public inspection subject to any continuing prohibition on the disclosure of confidential data. (6) When the purchasing agency denies a person access to a County procurement record, the person may appeal the denial to the office of information practices in accordance with §92F- 42(12), HRS, as amended. (7) The opening and reading of a bid do not imply, indicate, or mean that a bid is responsive and responsible. A complete review and evaluation of all pertinent factors will be conducted by the County after the bids are read and recorded. Accordingly, bidders should not presume that they are entitled to an award until a written award is issued. The successful vendor will be notified via electronic transmission of the letter of award that the vendor is being awarded the contract; provided that if the amount of the award is less than $50,000.00, a purchase order incorporating the terms and conditions herein, may be issued. (8) Bids shall be unconditionally accepted without alteration or correction, except as allowed in section 4.3 (LATE OFFERS, LATE WITHDRAWALS, AND LATE MODIFICATIONS); section 5.1 (MISTAKES IN IFBS); and section 5.2 (MISTAKES IN RFPS) of these GTCs. 4.2 RECEIPT OF RFPs (ELECTRONIC AND NON -ELECTRONIC SUBMISSIONS) (a) For electronic RFP solicitations posted and hosted by the County on the Public Purchase System, all electronic offers shall be received up to the submittal deadline and recorded immediately. Proposals and modifications shall not be opened publicly and shall be shown only to members of the evaluation committee. For competitive sealed proposals (or RFP), except for confidential portions, the proposals shall be made available for public inspection upon notice of award. (b) For non -electronic RFP solicitations, the following provisions shall apply: (1) Proposals and modifications shall be time -stamped upon receipt and held in a secure place by the chief procurement officer until the established due date. Proposals shall not be opened publicly but shall be opened in the presence of two or more procurement officials. Proposals and modifications shall be shown only to County personnel having legitimate interest- in them. (2) After the date established for receipt of proposals, a register of proposals shall be prepared which shall include for all proposals: the name of each offeror; the number of modifications received, if any; and a description 24 sufficient to identify the good or service item offered. The register of proposals shall be open to public inspection only after award of the contract. (3) An offeror shall request in writing nondisclosure of designated trade secrets or other proprietary data to be confidential. Offerors shall ensure that such data so designated as confidential shall be readily separable from the proposals in order to facilitate eventual public inspection of the nonconfidential portion of the proposal. (4) Proposals of the offeror(s) shall be open to public inspection after award of the contract as provided in §3-122-58, HAR, as amended. 4.3 LATE OFFERS, LATE WITHDRAWALS, AND LATE MODIFICATIONS Any notice of withdrawal, notice of modification of an offer with the actual modification, or any offer received at the place designated for receipt and opening of an offer after the time and date set for receipt and opening of offers is late. A late offer, late modification, or late withdrawal shall not be considered late if received before contract award and would have been timely but for the action or inaction of personnel within the County. A late offer or late modification that will not be considered for award shall be returned to the bidder unopened as soon as practicable and accompanied by a letter from the County stating the reason for its return. A late withdrawal request shall be responded to with a statement of the reason for non- acceptance of the withdrawal. 25 SECTION 5 EVALUATION OF OFFERS 5.1 MISTAKES IN IFBs (a) An obvious mistake in a bid may be corrected or withdrawn or waived by the offeror to the extent that it is not contrary to the best interest of the purchasing agency or to the fair treatment of other bidders. (b) A mistake in a bid discovered before the deadline for receipt of bids may be corrected or withdrawn as provided in §3-122-16.07, HAR, as amended. (c) A mistake in a bid discovered after the deadline for receipt of bids but prior to award may be: (1) Corrected or waived under the following conditions: (A) If the mistake is attributable to an arithmetical error, the chief procurement officer shall correct the mistake. In case of error in extension of bid price, unit price shall govern. (B) If the mistake is a minor informality which shall not affect price, quantity, quality, delivery, or contractual conditions, the chief procurement officer may waive the informalities or allow the bidder to request correction by submitting documentation that demonstrates a mistake was made. Examples of mistakes include typographical errors, transposition errors; or failure of a bidder to sign the bid or provide an original signature, but only if the unsigned bid or photocopy is accompanied by other material indicating the bidder's intent to be bound. (C) If not allowable under clauses (a) and (b) of this subsection (1) but is an obvious mistake that, if allowed to be corrected or waived, is in the best interest of the purchasing agency and is fair to other bidders. (2) Withdrawn if the mistake is attributable to an obvious error that shall affect price, quantity, quality, delivery, or contractual conditions, provided: (A) The bidder requests withdrawal by submitting documentation that demonstrates a mistake was made; and (B) The chief procurement officer prepares a written approval or denial in response to this request. (d) A mistake in a bid discovered after award of contract may be corrected or withdrawn if the chief procurement officer or head of purchasing agency makes a written determination that it would be unreasonable not to allow the mistake to be remedied or withdrawn. (e) The determination required by this section shall be final and conclusive unless clearly erroneous, arbitrary, capricious, or contrary to law. f 26 5.2 MISTAKES IN RFPs (a) Mistakes shall not be corrected after award of contract. (b) When the chief procurement officer knows or has reason to conclude before award that a mistake has been made, the chief procurement officer should request the offeror to confirm the proposal. If the offeror alleges mistake, the proposal may be corrected or withdrawn pursuant to this section. (c) Once discussions are commenced or after best and final offers are requested, any priority -listed offeror may freely correct any mistake by modifying or withdrawing the proposal until the time and date set for receipt of best and final offers. (d) If discussions are not held, or if the best and final offers upon which award will be made have been received, mistakes shall be corrected to the intended correct offer whenever the mistake and the intended correct offer are clearly evident on the face of the proposal, in which event the proposal may not be withdrawn. (e) If discussions are not held, or if the best and final offers upon which award will be made have been received, an offeror alleging a material mistake of fact which makes a proposal nonresponsive may be permitted to withdraw the proposal if: the mistake is clearly evident on the face of the proposal but the intended correct offer is not; or the offeror submits evidence which clearly and convincingly demonstrates that a mistake was made. (f) Technical irregularities are matters of form rather than substance evident from the proposal document, or insignificant mistakes that can be waived or corrected without prejudice to other offerors; that is, when there is no effect on price, quality, or quantity. If discussions are not held or if best and final offers upon which award will be made have been received, the chief procurement officer may waive such irregularities or allow an offeror to correct them if either is in the best interest of the County. Examples include the failure of an offeror to: return the number of signed proposals required by the request for proposal; sign the proposal, but only if the unsigned proposal is accompanied by other material indicating the offeror's intent to be bound; or to acknowledge receipt of an amendment to the request for proposal, but only if it is clear from the proposal that the offeror received the amendment and intended to be bound by its terms; or the amendment involved had no effect on price, quality or quantity. 5.3 fReservedl 27 5.4 DISQUALIFICATION OF OFFERORS An offeror shall be disqualified, and his offer automatically rejected for any one or more of the following reasons: (a) Proof of collusion, in which case, all offers involved in the collusive action will be rejected and any participant to such collusion will be barred from future solicitations until reinstated; (b) Offeror's lack of responsibility and cooperation as shown by past work or services; (c) Offeror's being in arrears on existing contracts with the County or having defaulted on previous contracts; (d) Offeror's lack of proper equipment and/or sufficient experience to perform the work contemplated; (e) Offeror does not possess proper license, if required to cover the type of work contemplated; (f) Offeror who has uncompleted work on contracts in force, or a record of unsatisfactory work performance or delays on completed contracts in force which, in the judgment of the County, might hinder or prevent the prompt completion of additional work if awarded; (g) Offeror who has complaints filed against the offeror for abusive or threatening language or behavior during previous contracts toward any County employee; (h) Offeror who has failed to comply, or is delaying compliance with, the requirements for final inspection or final payment of the County's general terms and conditions for any contract in force; (i) Offeror is deemed non -responsible, or offeror's failure to pay, or satisfactorily settle, all bills overdue for labor and material on former County contracts at the time of issuance of solicitation; (j) Offeror was paid for services to develop or prepare the specifications or work statements. (k) If the required offer guaranty received separately from the offer is not identifiable as guaranty for a specific offer, or is received after the date and time set for the opening; (1) If the required offer guaranty is not in accordance with section 3.4 (OFFER GUARANTY) of these GTCs; (m) If the offeror or surety fails to sign the surety bond submitted as offer guaranty; (n) If offeror fails to use the surety bond form furnished by the County or identical wording contained in a substantially similar form when submitting a surety bond as proposal guaranty; or 28 (o) If the offer shows any non-compliance with applicable law or contains any unauthorized additions or deletions, conditioned, incomplete, or irregular or is in anyway making the proposal incomplete, indefinite, or ambiguous as to its meaning; or unbalanced offers in which the price for any item is obviously out of proportion to the prices for other items. 5.5 STANDARDS OF CONDUCT All offerors should be certain that their bids are not in violation of §84-15, HRS, as amended. The submittal form states that by submitting this offer, offeror certifies that his offer does not pose a conflict with §84-15, HRS, as amended. Contracts awarded shall be void if there is a violation of §84-15, HRS, as amended. This section shall not apply to a personal contract of employment with the County. 5.6 fReservedl 5.7 MULTIPLE OR ALTERNATE OFFERS Unless specifically provided for in the solicitation, multiple or alternate offers shall not be accepted, and all such offers shall be rejected. This includes offers submitted by any one person under the same or different names. Without limiting the generality of the foregoing provision, a person shall be considered to have submitted more than one offer if such person submits more than one offer under the same name, or through agents, or through joint ventures, partnerships or corporation in which such person has more than a twenty-five per cent interest in each of them, or through any combination thereof. 5.8 CONDITIONED OFFERS Any offer which is conditioned upon receiving a contract other than as provided for in the solicitation shall be deemed nonresponsive and not acceptable. This includes any offer that is conditioned upon receiving award of both the particular contract being solicited and another County contract. 5.9 NON -RESPONSIVE OFFERS OR NON -RESPONSIBLE OFFERORS Offers submitted by offerors who have been determined to be non -responsive or non - responsible shall be rejected. An offer is considered non -responsive when it does not conform in all material respects to the solicitation by reason of its failure to meet the requirements of the specifications or permissible alternates or other acceptability criteria set forth in the solicitation. 5.10 REJECTION OF OFFERS The County reserves the right to reject any or all offers when in the County's opinion; such rejection will be in the best interest of the County. Reasons for rejection of an offer includes but is not limited to the reasons stated in these instructions and the reasons stated in §3-122-97, HAR, as amended. 29 SECTION 6 DISCUSSION AND BEST AND FINAL OFFER 6.1 PRIORITY LISTED OFFERS The County may establish a priority list consisting of at least three (3) offerors for discussions and Best and Final Offers (BAFOs). Those offerors who are selected for the priority list are referred to as the "Priority -Listed Offerors (PLO)." The County will not publicly identify the Priority -Listed firms prior to the notice of award being posted. 6.2 DISCUSSIONS Discussions will be limited to only PLOs. Discussions are held to: (1) Promote understanding of the County's requirements and the priority listed offerors' proposals; and (2) facilitate arriving at a contract that will provide the best value to the County, taking into consideration the evaluation factors set forth in the request for proposals. PLOs shall be accorded fair and equal treatment with respect to any opportunity for discussions and revisions of offers; however, offers may be selected without such discussion. Addenda to this RFP after establishment of a priority list shall be distributed only to PLOs. New proposals or amendments to the existing solicitation that, in the County's sole judgment, significantly change the nature of the procurement will not be permitted. Should the County believe it is in its best interest to go forward with a significant change, then the solicitation may be cancelled, and a new solicitation issued. During the discussion process, contents of any offer shall not be disclosed to competing offerors. 6.3 BEST AND FINAL OFFERS Although the County reserves the right to issue a request for BAFOs, the County is under no obligation to do so. The County may make its selection and award based on the initial offers submitted. If the County requests BAFOs, Priority -Listed Offerors may be informed of and requested and/or allowed to revise their offers, including correction of any weaknesses, minor irregularities, errors, and/or deficiencies identified to the Priority -Listed Offerors by the County following initial evaluation of the offers. The request for BAFOs will allow adequate time for the Priority -Listed Offerors to revise their offers. Upon receipt of any BAFOs, the process of evaluation will be repeated. The process will consider the revised information and re-evaluate and revise scores as appropriate. If discussions are held, the County will attempt to limit the selection process to a single BAFO, but this does not preclude the County from additional discussions or BAFOs in compliance with §3-122-54(b), HAR, as amended. 30 SECTION 7 —PREFERENCES 7.1 f Reservedl 7.2 PREFERENCE FOR HAWAII PRODUCTS (a) This section shall not apply whenever its application will disqualify the County from receiving federal funds or aid. (b) All offers shall comply with the preferences, as applicable, set forth in §3-124, HAR, as amended. 31 SECTION 8 AWARD AND EXECUTION OF CONTRACT 8.1 INVITATION FOR BID SOLICITATIONS For IFB solicitations under HRS §103D- 302, the contract shall be awarded with reasonable promptness by written notice to the lowest responsive, responsible offeror whose offer meets the requirements and criteria set forth in the IFB and posted pursuant to §103D-701, HRS, as amended, for five (5) working days. In the event additive alternates are included in the solicitation, the lowest offer will be determined after adding to the total base price, the alternate or alternates considered for award. Alternates, if any are awarded, shall be awarded in the order listed in the offer. Award of alternates shall be dependent upon the availability of funds. 8.2 LOW TIE BIDS FOR IFB SOLICITATIONS (a) In the discretion of the chief procurement officer or the head of a purchasing agency, award shall be made in any permissible manner that will resolve tie bids, including but not limited to: (1) Award the contract to a business providing goods produced or manufactured in this State or to a business that otherwise maintains a place of business in this State; (2) Where identical low bids include the cost of delivery, award the contract to the tie bidder farthest from the point of delivery; and (3) Award the contract to the identical bidder who received the previous award and continue to award succeeding contracts to the same bidder so long as all low bids are identical. (b) Where there,are multiple items in the same solicitation, award the contract on the tied bid item(s) to the bidder whose other contract award is largest. (c) If no permissible method will be effective in resolving tie bids and a written determination by the Chief procurement officer is made so stating, award may be made by drawing lots. (d) Records in accordance with §3-122-34, HAR, as amended, shall be made a part of the procurement file. 8.3 ACCEPTANCE OF OFFER (a) Acceptance of offer, if any, will be made within sixty (60) days after the opening of offers; and the prices quoted by the offeror shall remain firm for the sixty (60) day period. Unless otherwise provided, each individual item or group of items will be awarded to the responsive and responsible offeror whose offer complies with all the solicitation requirements. In determining the responsive and responsible offeror, offers will be evaluated not only on the amounts thereof, but on all factors relating to the satisfactory performance of the contract. Products must be of a quality and nature that will meet the needs and purposes of the intended use and must conform 32 to all requirements prescribed in the specifications. The offeror must have the ability to perform as called for in the contract terms. The County shall be the sole judge of product or vendor capability. The successful vendor will be notified by letter that the offer has been accepted and that the vendor is being awarded the contract. (b) If the offer is rejected or if the vendor to whom the contract was awarded fails to enter into the contract and furnish satisfactory security, if applicable, the purchasing agency may, at its discretion, award the contract to the next lowest or remaining responsible offeror or may publish another call for offers; provided in the case of only one remaining responsible offeror, the head of the purchasing agency may negotiate with such bidder to reduce the scope of work, if available funds are exceeded, and to award the contract at a price which reflects the reduction in the scope of work. (c) The head of the purchasing agency further reserves the right to cancel the contract award at any time prior to execution of said contract by all parties, without any liability to the awardee and to any other offeror. 8.4 EXECUTION OF CONTRACT (a) In cases where the contract award amounts to $50,000.00 or more, the County shall forward a formal contract to the successful offeror for execution. The contract shall be signed by the successful vendor and returned, together with a satisfactory contract bond, if required, and other supporting documents, within ten (10) days after receipt by the vendor or within such further time as the chief procurement officer may allow in writing. (b) No such contract shall be considered binding upon the County until the following has occurred: (1) The contract has been fully and properly executed by all the parties thereto, with an authorized person of the contractor signing first and the Mayor, or his/her designee signing last; (2) The Director of Finance has, in accordance with the County charter, approved the contract as to the availability of funds in the amounts and for the purposes set forth therein if they involve financial obligations of the County; with the exception of a multi -term contract, whereby, the Director of Finance shall only be required to certify that there is an appropriation or balance of an appropriation over and above all outstanding contracts, that is sufficient to cover the amount required to be paid under the contract during the fiscal year or remaining portion of the fiscal year of each term of the multi -year contract; (3) Be authorized by the council by resolution if legislative action is necessary to implement the contract; (4) Be approved by the corporation counsel as to form and legality; and (5) Except as otherwise provided, be signed by the mayor. 33 (c) In any contract involving not only State or County funds but supplemental funds from the federal government, this section shall be applicable only to that portion of the contract price as is payable out of State or County funds. As to the portion of the contract price as is expressed in the contract to be payable out of federal funds, the contract shall be construed to be an agreement to pay the portion to the contractor, only out of federal funds to be received from the federal government. This paragraph shall be liberally construed so as not to hinder or impede the County in contracting for any project involving financial aid from the federal government. (d) If the successful offeror is other than a sole proprietorship, it shall submit satisfactory evidence, e.g., certificate or corporate resolution, power of attorney or other such evidence of authority of the signers' authority to execute on the contract date the contract on behalf of the successful bidder. If such document has been submitted to the purchasing agency on a previous occasion, the successful offeror may submit a copy of this document, provided there has been no amendment, modification or rescission of the document previously submitted, and provided further, that the document previously submitted is still effective as of the date of execution of the contract. If there has been a modification, amendment or rescission of the evidence of authority previously submitted, then the superseding document shall be attached to the contract. 8.5 CONTRACT BOND (a) When required by the special provisions, a performance bond and a payment bond shall be delivered by the contractor to the County at the same time the executed contract is delivered. (b) The acceptable performance and payment bonds are the same as the acceptable bid or proposal security deposit specified in section 3.4 (OFFER GUARANTY) of these GTCs. (Refer to Exhibits for the forms to be submitted.) If a surety bond is submitted for either the performance or payment bond, in addition to the form prescribed, a power of attorney for the surety's attorney -in -fact executing the bond shall be provided. (c) If an offer does not comply with the security requirements, the offer shall be rejected as nonresponsive, unless the failure to comply is determined by the chief procurement officer, the head of the purchasing agency, or the designee of such officer to be nonsubstantial pursuant to §3-122-223, HAR, as amended. 8.6 FAILURE TO EXECUTE CONTRACT (a) If the offeror to whom a contract is awarded shall fail or neglect to enter into the contract and to furnish satisfactory security as required by section 8.5 (CONTRACT BOND) of these GTCs, within ten (10) days after such award or within such further time as the chief procurement officer may allow, the purchasing agency shall pay the amount of offeror's IFB or RFP guaranty as required under section 3.4 (OFFER GUARANTY) of these GTCs, into the County Treasury as a realization of the County. The chief procurement officer may thereupon award the contract to the next lowest responsive, responsible offeror or may call for new offers, whichever method the chief procurement officer may deem is in the best interest of the County. 34 8.7 RETURN OF OFFER GUARANTIES All offer guaranties submitted as required by subchapter 24, §3-122, HAR, as amended shall be retained until the successful offeror enters into the contract and furnishes satisfactory security or if the contract is not awarded or entered into, until the chief procurement officer's determination is made to publish another call for offers. At such time, all offer guaranties, except surety bonds, will be returned. 8.8 SUBMISSION OF INSURANCE CERTIFICATION (a) The contractor agrees to deliver to the County, when contract documents are executed, a certificate of insurance evidencing any and all insurance required by the solicitation and/or special provisions. Said certificate shall contain an endorsement that such insurance may not be cancelled except upon thirty (30) days' notice to the County. It shall also contain a statement to the effect that the County is named additional insured under the policy(s). (b) Failure of the contractor to provide and keep in force insurance policy(s) as required shall be regarded as material default under this contract, entitling the County to exercise any or all of the remedies provided in this contract for a default of the contractor. (c) If a contractor is providing services on County property, adequate insurance coverage and proof of insurance shall be required, including the County being listed as an additional insured. The solicitation and/or special provisions shall specify adequate insurance coverage provisions. 8.9 CANCELLATION OF AWARD The County reserves the right to cancel the solicitation in accordance with §3-122-96, HAR, as amended. 35 SECTION 9 DEBRIEFING PROTEST, SUSPENSION & DEBARMENT AND SOLICITATIONS & AWARDS IN VIOLATION OF LAW 9.1 DEBRIEFING (a) Debriefing shall apply only to RFP solicitations. The purpose of a debrief is to inform the non -selected offerors of the basis for the source selection decision and contract award. A written request for a debriefing shall be made within three (3) Working Days after the posting of the award. (b) Debriefing shall be held by the chief procurement officer or designee, to the maximum extent practicable, within seven (7) Working Days; provided the chief procurement officer or designee may determine whether or not to conduct individual or combined debriefings. (c) A protest by the requestor submitted pursuant to §103D-701, HRS, as amended, following a debriefing shall be filed within five (5) Working Days, as specified in §103D-303(h), HRS, as amended. 9.2 COMPLAINTS AND PROTESTS (a) A protest of an award shall be subject to the requirements specified in §103D-701, HRS, as amended, and §3-126, HAR, as amended. (b) Protests shall be made in writing or as otherwise specified in the solicitation to the chief procurement officer,, and shall be filed within five (5) Working Days after the protestor knows or should have known of the facts giving rise therein; provided that a protest of an award or proposed award shall in any event be submitted in writing or as otherwise specified in the solicitation within five (5) Working Days after the posting of award of the contract either under §§103D-302 or 103D-303, HRS, as applicable; provided further that no protest based upon the content of the solicitation shall be considered unless it is submitted in writing prior to the date set for the receipt of offers. A protest is considered filed when received by the chief procurement officer. Protests filed after the five (5) day period shall not be considered. (c) To expedite handling of protests, the envelope or communication should be labeled "Protest" and either served personally, sent by registered or certified mail, return receipt requested, to the chief procurement officer, or as otherwise specified in the solicitation. The written protest shall include as a minimum the following: (1) The name and address of the protestor; (2) Appropriate identification of the procurement and, if a contract has been awarded, its number; (3) A statement of reasons for the protest; and Iro (4) Supporting exhibits, evidence, or documents to substantiate any claims unless not available within the filing time in which case the availability date shall be indicated. (d) When a protest has been filed, no further action shall be taken until the protest has been settled, unless the chief procurement officer makes a written determination, after consulting with the Head of the purchasing agency, that the award of the contract is necessary to protect the substantial interests of the State. 9.3 AUTHORITY TO DEBAR OR SUSPEND The County, in accordance with §103D-702, HRS, as amended, and subchapter 2 of §3- 126, HAR, as amended, may debar or suspend an offeror for cause from consideration for award of contracts. The period of debarment shall be limited to not more than three (3) years. The period of suspension shall be limited to not more than three (3) months. 9.4 SOLICITATIONS OR AWARDS IN VIOLATION OF LAW If a solicitation or award is found to be in violation of law, it shall be resolved in accordance with §§103D-705, 103D-706, and 103D-707, HRS, as amended; and subchapter 4 of §3-126, HAR, as amended. 37 SECTION 10 - PERFORMANCE OF CONTRACT 10.1 INDEPENDENT CONTRACTOR It is expressly understood and agreed that the contractor is an independent contractor, with the authority to control and direct the performance and details of the work and services herein contemplated; however, the County retains the general right of inspection by a designated representative in order to judge, whether in the County's opinion, such work is being performed by the contractor in accordance with the terms of this agreement. Under no circumstances will the contract be considered an agreement of partnership or joint venture between the County and the contractor. 10.2 CONSTRUCTION OF CONTRACT The masculine shall be deemed to embrace and include the feminine and the singular shall be deemed to embrace and include the plural, whenever required in the context of the contract. 10.3 COMPLIANCE WITH CONTRACT TERMS, ETC. The contractor shall perform in conformity with the specifications and each and every requirement of these general terms and conditions and other provisions forming a part of the contract. In the event the contractor fails to so perform, the chief procurement officer or Head of the purchasing agency, in addition to any other recourse, reserve the right to suspend the contractor from bidding on any or all County contracts pursuant to §3-126, HAR, as amended. 10.4 EXAMINATION OF SITE (a) Examination of site. When applicable, the offeror shall carefully examine the site of the proposed work before submitting an offer. The submission of an offer shall be considered as a warranty that the offeror has made such examination and is satisfied with the conditions to be encountered in performing the work. (b) Materials and equipment. The County does not assume any responsibility for the availability of any materials or equipment required under this contract. Unless otherwise specified in the solicitation, the offeror shall be considered as having taken into account when submitting an offer, the availability of materials or equipment required under the contract. 10.5 PRICE INCLUSIVE OF ALL APPLICABLE TAXES Unless otherwise specified in the solicitation document, the offeror shall include in its unit price and be responsible for paying all taxes, which shall be applicable to the goods, services, or the furnishing and sale thereof. offerors are directed to contact the Department of Taxation of the State of Hawai'i for assistance as to whether the State of Hawai'i excise tax, the applicable use tax, or other taxes will apply to the offeror. offeror shall not pass through any increases in taxes to the County. 38 10.6 CHANGE ORDERS AND MODIFICATIONS The contractor will not undertake to perform the portion of the work affected by the changes until a Change Order or modification has been approved and issued, pursuant to section 12 (MODIFICATIONS AND TERMINATIONS OF CONTRACTS FOR GOODS AND SERVICES) of these GTCs. 10.7 LIQUIDATED DAMAGES The contractor understands and agrees that time is an essential factor of this contract, and that the County will suffer material loss by reason of delays that may occur in the contractor's performance of the work or any portions of the work within the time or times fixed in the contract or any extensions thereto. When the contractor is given notice of delay or nonperformance, in accordance with section 12.11 (TERMINATION FOR DEFAULT) of these GTCs and fails to cure in the time specified, the contractor shall pay to the County, as liquidated damages for any such delays, the sum set forth in the solicitation, special provisions, and/or the contract for each and every calendar day of delay or nonperformance from the day set for cure until either the County reasonably obtains similar Goods or Services if the contractor is terminated for default, or until the contractor provides the Goods or Services if the contractor is not terminated for default. The sums of each and every calendar day of delay or nonperformance shall be deducted from the contract price. It is expressly stipulated by and between the contractor and the County that any such sums shall be deemed and taken to be liquidated damages for the contractor's failure to perform within the specified time and not be in the nature of a penalty. To the extent that the contractor's delay or nonperformance is excused under section 12.11(d) (EXCUSE FOR NONPERFORMANCE OR DELAYED PERFORMANCE) of these GTCs, liquidated damages shall not be due the County. The contractor remains liable for damages caused other than by delay. 10.8 DELIVERY (a) The number of calendar days for delivery of Goods or Services for the completion of the contract shall be calculated from the official commencement date as established in the Notice to Proceed or from the date of the purchase order. (b) Should the contractor begin work or make delivery before the official commencement date set forth in the Notice to Proceed, the contractor understands and agrees that such work or delivery shall be considered as having been done at his own risk and expense, as a gift of services or goods, and no payment will be owed to him for such premature work or delivery. (c) The contractor shall deliver the goods and furnish services at such particular location designated and, in the manner, specified or ordered in the contract. (d) Whenever equipment is specified, the contractor shall deliver the equipment completely assembled, unless provided for otherwise. (e) contract prices shall be based on delivery F.O.B. place of destination and shall include all freight, handling, delivery, and related charges. 39 10.9 NOTICE TO PROCEED (a) After the contract is fully executed, the procurement officer will issue a written "Notice to Proceed" establishing the official commencement date. Until said Notice to Proceed is issued, the County may find cause for cancellation of the award and any expenses incurred before the official commencement date shall be done at the contractor's own risk and expense. (b) The number of days for completion of the contract will be calculated from the official commencement date. 11 (c) In cases where the amount of the award is less than $50,000.00 and a purchase order is issued, no notice to proceed will be made. 10.10 DISPUTES (a) All controversies between the County and the contractor which arise under, or are by virtue of, this contract and which are not resolved by mutual agreement, shall be decided by the chief procurement officer in writing, within ninety (90) days after a written request by the contractor for a final decision concerning the controversy; provided that if the Director does not issue a written decision within ninety (90) days after written request for a final decision, or within such longer period as may be agreed upon by the parties, then the contractor may proceed as if an adverse decision had been received. (b) The chief procurement officer shall immediately furnish a copy of the decision to the contractor, by certified mail, return receipt requested, or by any other method that provides evidence of receipt. (c) Any such decision shall be final and conclusive, unless fraudulent, or the contractor brings an action seeking judicial review of the decision in the Third Circuit Court of the State of Hawaii within the six (6) months from the date of receipt of the decision. (d) The contractor shall comply with any decision of the Director and proceed diligently with performance of this contract pending final resolution by the Third Circuit Court of the State of Hawaii of any controversy arising under, or by virtue of, this contract, except where there has been a material breach of contract by the County; provided that in any event the contractor shall proceed diligently with the performance of the contract where the chief procurement officer has made a written determination that continuation of work under the contract is essential to the public health and safety. 10.11 REMEDIES Any dispute arising under or out of this contract is subject to §3-126, HAR, as amended. 10.12 COUNTY'S RIGHT OF OFFSET The County may offset any monies or other obligations the County owes to the contractor under this contract, any amount owed to the County by the contractor under this contract, or any other contract, or pursuant to any law or other obligation owed to the County, M including, but not limited to, the payment of any fees, landfill tipping fees, taxes or levies of any kind or nature. The County shall notify the contractor in writing of any exercise of its right of offset and the nature and amount of such offset. For the purposes of this paragraph, amounts owed to the County shall not include debits or obligations which have been liquidated by agreement with the contractor, and that are covered by an installment payment or other settlement plan approved by the County, provided, however, that the contractor is current, and in compliance with, and not delinquent on, any payments, obligations, or duties owed to the County under such payment or other settlement plan. 10.13 TIME IS OF THE ESSENCE Performance of the contract shall commence on the commencement date designated in the Notice to Proceed and shall be completed within the time specified in the contract, except as modified by mutual agreement. contractor acknowledges that time is of the essence in the completion of the work within the designated time in the contract. 41 SECTION 11 - LEGAL RELATIONS AND RESPONSIBILITY 11.1 LAWS TO BE OBSERVED (a) Comply with all laws. The contractor shall at all times observe, perform, and comply with all federal, state and local laws or ordinances, rules and regulations which in any manner affect those engaged or employed in the performance of the work, the manufacture and sale of materials and equipment required under the contract, and the conduct of the work. The contractor shall also comply with all such orders and decrees of bodies or tribunals having any jurisdiction or authority over the work. Any reference to such laws, ordinances, rules and regulations shall include any amendments thereto. If any discrepancy or inconsistency is discovered in the contract for the work in relation to any such laws, ordinances, rules and regulations, orders or decrees, the contractor shall forthwith report the same to the chief procurement officer in writing. (b) Indemnification for violation of law. The contractor shall indemnify, hold harmless and defend the County and all its officers, agents, employees, and representatives from all suits, actions, claims, damages, and judgments, of any character or kind, that may arise from, or which are based on the violation of any such laws, ordinances, rules and regulations, orders and decrees, whether such violation is committed by the contractor or his subcontractor or the employee or either or both. (c) The contractor's attention is especially directed to W 03 and 103D, HRS, as amended; subtitle 11 Procurement Policy Board of title 3 Department of Accounting and General Services HAR as amended; the Hawai'i County Charter (2022 Edition, as amended); and the Hawai'i County Code 1983 (2016 Edition, as amended) The applicable provisions of the aforementioned shall be deemed to be a part of the contract as though fully set forth herein. If any discrepancy or inconsistency is discovered in the contract for the work in relation to any such laws, ordinances, rules and reaulations. orders or decrees, the contractor shall forthwith report the same to the chief procurement officer in writing. 11.2 WARRANTY OF TITLE The contractor shall warrant absolute title and full and clear right to sell or provide the goods or services, as specified herein, to the County and that there are no liens, claims or encumbrances of any kind on said Goods or Services. The contractor shall hold the County free, clear, and harmless against any adverse claim of title. 11.3 COPYRIGHT The County shall have ownership of the work product that is produced by the contractor in the performance of work under the contract with the County, including an unrestricted, royalty -free, nonexclusive and irrevocable license to reproduce, publish, translate or otherwise use and to authorize others to publish and use all materials obtained or produced in connection with the work hereunder, which may be copyrighted by the County. 42 11.4 INFRINGEMENT INDEMNIFICATION If the contractor uses or licenses any design, device, material, process, technology or any other intellectual property ("Intellectual Property") covered by patent, copyright,. trademark or other Intellectual Property protection, the right for such use shall be procured by the contractor from the appropriate owner. The contractor shall indemnify and hold the County and all its officers, agents, employees and representatives harmless against all claims arising from the use of any claims for infringement by reason of the use of any such Intellectual Property in connection with providing services under this contract. 11.5 SUBCONTRACTING AND ASSIGNING The contractor shall not subcontract any of the work to be performed under this contract with the County, nor shall he assign the contract to any other person or firm without written permission from the chief procurement officer, or his/her designee, and no subcontract or assignment made without such permission will be recognized. No subcontract shall, under any circumstances, relieve the contractor of his obligation and liability under his contract with the County, and all persons engaged in performing the work covered by the contract shall be considered agents of the contractor, and shall be subject to the provisions of the contract. 11.6 ASSIGNMENT OF ANTITRUST CLAIMS Vendor and purchaser recognize that in actual economic practice, overcharges resulting from antitrust violations are in fact usually borne by the purchaser. Therefore, vendor hereby assigns to purchaser any and all claims for such overcharges as to goods and materials purchased in connection with this order or contract, except as to overcharges which result from antitrust violations commencing after the price is established under this order or contract and which are not passed on to the purchaser under an escalating clause. 11.7 INDEMNIFICATION The contractor shall indemnify, hold harmless and defend the County and its officers, employees, agents, and representatives from all suits, actions, claims, damages, and judgments of any character that may be brought against the County by whomsoever, on account of any injuries or damages sustained by any person and property, due to the negligent acts or omissions by the contractor, or any of his officers, employees, subcontractors, assignees, or representatives, in the performance of the contract. In the event the County and the contractor are found to be joint tortfeasors with respect to any such injuries or damages, the contractor's obligations to indemnify the County under this section shall extend only to the contractor's pro rata share of negligence as, determined in accordance with §663-12, HRS, as amended. 11.8 PERSONAL LIABILITY OF PUBLIC OFFICIALS In carrying out any of the provisions of the contract or in exercising any power or authority granted to them by the contract, there shall be no liability upon the chief procurement officer or his/her authorized representatives, either personally or as officials of the County, it being understood that in such matters, they act solely as agents and representatives of the County. 43 11.9 f Reservedl 11.10 RECORD RETENTION AND RIGHT TO AUDIT RECORDS (a) The contractor and/or any of its subcontractors shall maintain the books and records that relate to the contract and any cost or pricing data for three (3) years from the date of final payment under the contract. (b) The County, at reasonable times and places, may audit the books and records of any contractor who has submitted cost or pricing data. 11.11 NON-DISCRIMINATION (a) The contractor and/or subcontractor shall not discriminate on the basis of race, religion, color, national origin, sex, sexual orientation, gender identity, age, marital status, pregnancy, parenthood, disability, or political affiliation in the performance of this contract. Failure to comply with this requirement may be cause for termination of this contract or such other remedy as the County deems appropriate. (b) Pursuant to Executive Order No. 142, County of Hawaii, dated February 11, 2005, during the performance of this contract, the contractor shall: (1) Comply with all requirements set forth in Federal and State laws and regulations relative to Title VI of the Civil Rights Act of 1964, as amended, which provide for non-discrimination in federally assisted programs. (2) Not discriminate against any employee or applicant for employment because of sex, pregnancy, race, ancestry/national origin, religion, color, disability, age, marital status, military status, veteran's status, sexual orientation, lactation, arrest and court record, citizenship, or any other classification protected by state or federal law. Contractor shall assure that applicants are employed and that employees are treated during employment without regard to sex, pregnancy, race, ancestry/national origin, religion, color, disability, age, marital status, military status, veteran's status, sexual orientation, lactation, arrest and court record, citizenship, or any other classification protected by state or federal law. Such action shall include, but not be limited to, the following: employment, upgrading, demotion, or transfer; recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selection for training. Contractor agrees to post in conspicuous places notes to be provided by the contracting officer setting forth the provisions of the nondiscrimination clause. (3) In all solicitations or advertisements for employees placed by or on behalf of the contractor, state that all qualified applicants shall receive consideration for employment without regard to sex, pregnancy, race, ancestry/national origin, religion, color, disability, age, marital status, military status, veteran's status, sexual orientation, lactation, arrest and court record, citizenship, or any other classification protected by state or federal law. (4) In the event of the contractor's noncompliance with the nondiscrimination clauses of this contract, this contract may be canceled or suspended in whole or in part and the contractor may be declared ineligible for further County contracts until such time that the contractor, by satisfactory evidence, in good faith, ceases such discriminatory practices or procedures. (5) If contractor subcontracts any portion of the contract, it shall assure the County that such subcontractor shall abide by the nondiscrimination provisions stated herein and agrees that any subcontractor who is found in violation of such provisions shall subject the principal contractor's contract with the County to be terminated or suspended pursuant to subsection section 11.11(b)(4). (6) The County may direct any bidder, prospective contractor, or subcontractor to submit a statement in writing signed by an authorized officer, agent, or employee of the contracting party that the signer's practices and policies do not discriminate on the grounds of sex, pregnancy, race, ancestry/national origin, religion, color, disability, age, marital status, military status, veteran's status, sexual orientation, lactation, arrest and court record, citizenship, or any other classification protected by state or federal law, and that the terms and conditions of employment under the proposed contract shall be in accordance with the purposes, and any bidder, prospective contractor or subcontractor shall comply with all such present state and federal laws, ordinances, codes, rules and regulations, and all amendments thereto. If any discrepancy or inconsistency is discovered between this Agreement and any such law, ordinance, code, rule or regulation, the contractor shall forthwith report the same in writing to the County. 11.12 RESPONSIBILITY OF CONTRACTOR AND TAX CLEARANCE The following applies to any procurement of $25,000 or more and/or any County contract of $25,000 or more: (a) Upon award of the contract, §103D-310, HRS, as amended, specifies that all offerors shall comply with all laws governing entities doing business in the State, including, but not limited to, §§237, 383, 386, 392, and 393, HRS, as amended. (b) In addition, pursuant to §§103D-328 and 103-53, HRS, as amended, no contract shall be binding or effective until the purchasing agency confirms tax clearance from the Director of Taxation and the Internal Revenue Service. The contractor shall provide updated tax clearances as required by the Director of Finance to comply with §103-53, HRS, as amended. 45 (c) As proof of compliance with the above, the purchasing agency shall verify contractor compliance using Hawai'i Compliance Express (HCE), as a pre -requisite to award, for the following requirements: (1) Tax Clearance from the Department of Taxation and Internal Revenue Service to demonstrate compliance with §237, HRS, General Excise Tax Law, and §103D-328, HRS, Tax Clearance; (2) Compliance from the Department of Labor and Industrial Relations to verify current compliance with §383 (Hawai'i Employment Security Law), §386 (Workers' Compensation Law); §392 (Temporary Disability Insurance Law); and §393 (Prepaid Healthcare Act), HRS, as amended; and (3) Good Standing Certificate from the Department of Commerce and Consumer Affairs. 11.13 CAMPAIGN CONTRIBUTIONS BY STATE AND COUNTY CONTRACTORS If awarded a contract in response to this solicitation, offeror agrees to comply with §11- 355, HRS, as amended. Questions regarding this statute should be directed to the State Campaign Spending Commission. M, SECTION 12 - MODIFICATIONS AND TERMINATIONS OF CONTRACTS 12.1 GENERAL (a) Pursuant to §3-125-1, HAR, as amended, the contract clauses in this section 12 (MODIFICATIONS AND TERMINATIONS OF CONTRACTS) of these GTCs are required for use in invitation for bids or requests for proposals and may be used in other contracts subject to §103D, HRS, as amended. Clauses that are specific for a certain category of goods, services, or construction are not required for contracts of another category. For example, specific clauses applicable only to goods and services are not required for construction contracts. (b) If the clauses set -forth in §3-125, HAR, as amended, are plainly inappropriate for use in a proposed contract, then the chief procurement officer or the head of purchasing agency shall make a written determination describing the circumstances requiring a material variation, provided that notice of any variation shall be stated in the invitation for bids or requests for proposals. (c) Any material variation from these clauses shall be described in the solicitation documents in substantially the following form: "General Terms and Conditions Section no. , entitled , is not a part of the general terms and conditions of this contract and has been replaced by Special Provisions clause no. , entitled (d) In accordance with applicable law and in consultation with the corporation counsel and the chief procurement officer and his/her designee, alternative clauses are allowed in some instances to permit accommodation of differing contract situations. 12.2 CONTRACT CHANGE ORDERS (a) Generally. By written order, at any time, and without notice to any surety, the chief procurement officer may, unilaterally, order of the contractor: (1) Changes in the work within the scope of the contract; and (2) Changes in the time of performance of the contract that do not alter the scope of the contract work. (b) Adjustments of prices or performance time. If any such Change Order increases or decreases the contractor's cost of, or the time required for, performance of any part of the work under this contract, whether or not changed by the Change Order, an adjustment shall be made and the contract modified in writing accordingly and signed by the parties. Any adjustment in contract price made pursuant to this section shall be determined in accordance with section 12.8 (PRICE ADJUSTMENT) of these GTCs. Failure of the parties to agree to an adjustment in contract price shall be resolved in accordance with section 12.8 (PRICE ADJUSTMENT) of these GTCs. Failure of the parties to agree to an adjustment shall not excuse the contractor from proceeding with the contract as changed, provided that the chief procurement officer within fourteen (14) days after the changed work commences, makes the provisional 47 adjustments in time as the Chief Procurement Office deems reasonable. The right of the contractor to dispute the contract price or time, or both, shall not be waived by its performing the work; provided, however, that the contractor files a claim in accordance with section 12.2(c) (CONTRACT CHANGE ORDERS) of these GTCs. (c) Time period for claim. Except as may be provided otherwise by §1 03D-501 (b), HRS, as amended, the contractor must file a written claim disputing the contract price or time, or both, provided in a Change Order, within ten (10) days after receipt of a written Change Order, unless such period for filing is extended by the chief procurement officer in writing. The requirement for filing a timely written claim cannot be waived and shall be a condition precedent to the assertion of a claim. (d) Claim barred after final payment. No claim by the contractor for an adjustment hereunder shall be allowed if the claim is not received by the Director of Finance prior to final payment under this contract. (e) Other claims not barred. In the absence of such a Change Order, nothing in this clause shall be deemed to restrict the contractor's right to pursue a claim as permitted under the contract or for breach of contract. 12.3 CONTRACT MODIFICATIONS (a) Contract modification. By a written order, at any time, and without notice to any surety, the chief procurement officer or his/her designee, subject to mutual agreement of the parties to the contract and all appropriate adjustments, may make modifications within the general scope of this contract to include any one or more of the following: (1) Drawings, designs, or specifications, for the goods to be furnished; (2) Method of shipment or packing; (3) Place of delivery; (4) Description of services to be performed; (5) Time of performance (i.e., hours of the day, days of the week, etc.); (6) Place of performance of the services; or (7) Other provisions of the contract accomplished by mutual action of the parties to the contract that are within the general scope of the contract. (b) Adjustments of price or time for performance. If any modification increases or decreases the contractor's cost of, or the time required for, performance of any part of the work under this contract, an adjustment shall be made, and the contract modified in writing accordingly. Any adjustment in contract price made pursuant to this clause shall be determined, where applicable, in accordance with the price adjustment clause of this contract or as negotiated. (c) Claim barred after final payment. No claim by the contractor for an adjustment hereunder shall be allowed if the claim is not received by the Director of Finance prior to final payment under this contract. M. (d) Other claims not barred. In the absence of such a contract modification, nothing in this clause shall be deemed to restrict the contractor's right to pursue a claim under the contract or for breach of contract. 12.4 AUTHORIZATION FOR A STOP WORK ORDER FOR GOODS AND SERVICES CONTRACTS (a) Section 12.5 (STOP WORK ORDERS) of these GTCs applies to any fixed -price contract under which work stoppage may be required for reasons such as advancements in the state of the art, production modifications, engineering changes, or realignment of programs. A stop work order shall not be used in lieu of the issuance of a termination notice after a decision to terminate has been made. (b) Stop work orders shall not exceed sixty (60) days and shall include, as appropriate: (1) A clear description of the work to be suspended; (2) Instructions as to the issuance of further orders by the contractor for material or services; (3) Guidance as to action to be taken on subcontracts; and (4) Other instructions and suggestions to the contractor for minimizing costs. (c) As soon as feasible after a stop work order is issued: (1) The contract will be terminated; or (2) the stop work order will be canceled or extended in writing beyond the period specified in the order. (d) In any event, such action must be taken before the specified stop work period expires. If an extension of the stop work order is necessary, it must be evidenced by a supplemental agreement signed by the parties. Any cancellation of a stop work order shall be subject to the same approvals as were required for the issuance of the order. 12.5 STOP WORK ORDERS (a) Order to stop work. The chief procurement officer, may, by written order to the contractor, at any time, and without notice to any surety, require the contractor to stop all or any part of the work called for by this contract. This stop work order shall be for a specified period not exceeding sixty (60) days after the stop work order is delivered to the contractor unless the parties agree in writing to any further period. Any such stop work order shall be identified specifically as a stop work order issued pursuant to this subsection. Upon receipt of such a stop work order, the contractor shall forthwith comply with its terms and take all reasonable steps to minimize the occurrence of costs allocable to the work covered by the stop work order during the period of work stoppage. Before the stop work order expires, or within any further period to which the parties shall have agreed to in writing, the chief procurement officer shall either: (1) Cancel the stop work order; or (2) Terminate the work covered by such stop work order as provided in section 12.11 (TERMINATION FOR DEFAULT) or section 12.12 (TERMINATION FOR CONVENIENCE) of these GTCs. (b) Cancellation or expiration of the stop work order. If a stop work order issued under this subsection is canceled at any time during the period specified in the stop work 49 order, or if the period of the stop work order or any extension thereof expires, the contractor shall have the right to resume work. An appropriate adjustment shall be made in the delivery schedule or contract price, or both, and the contract shall be modified in writing accordingly, if: (1) The stop work order results in an increase in the time required for, or in the contractor's cost properly allocable to, the performance of any part of this contract; and (2) The contractor asserts a claim for such an adjustment within thirty (30) days after the end of the period of work stoppage; provided that, if the chief procurement officer decides that the facts justify such action, any such claim asserted may be received and acted upon at any time prior to final payment under this contract. (c) Termination of stopped work. If a stop work order is not canceled and the work covered by such order is terminated for default or convenience, the reasonable costs resulting from the stop work order shall be allowable by adjustment or otherwise. (d) Adjustment of price. Any adjustment in contract price made pursuant to this clause shall be determined in accordance with section 12.8 (PRICE ADJUSTMENT) of these GTCs. 12.6 VARIATIONS IN QUANTITIES FOR DEFINITE QUANTITY CONTRACTS Upon the agreement of the parties, the quantity of goods or services, or both, specified in this contract may be increased by a maximum of ten percent (10%) provided: (1) the unit prices will remain the same except for any price adjustments otherwise applicable; and (2) the chief procurement officer makes a written determination that such an increase will either be more economical than awarding another contract or that it would not be practical to award another contract. 12.7 VARIATIONS IN ESTIMATED QUANTITIES FOR INDEFINITE QUANTITY CONTRACTS (a) Except as provided for in this section, no clause is provided here because in indefinite quantity contracts, the flexibility as to the County's obligation to order, and the contractor's obligation to deliver, should be designed to meet using agency needs, while still making the contract as attractive as possible to potential contractors, to obtain maximum practicable competition, and to assure the best economy for the County. However, in each case, the contract shall state: (1) The minimum quantity, if any, the County is obligated to order, and the contractor is required to provide; (2) Whether there is a quantity the County expects to order and how this quantity relates to any minimum and maximum quantities that may be ordered under the contract; (3) Any maximum quantity the County may order, and the contractor must provide; and (4) Whether the County is obligated to order its actual requirements under the contract, or in the case of a multiple award as defined in §3-122-145, HAR, as amended, the County will order its actual requirements from the contractors under the multiple award subject to any minimum or maximum quantity stated. 50 12.8 PRICE ADJUSTMENT (a) Any adjustment in contract price pursuant to a provision in the contract shall be made in one or more of the following ways: (1) By agreement on a fixed price adjustment before commencement of the pertinent performance; (2) By unit prices specified in the contract or subsequently agreed upon before commencement of the pertinent performance; (3) By the costs attributable to the events or situations under such clauses with adjustment of profit or fee, all as specified in the contract or subsequently agreed upon before commencement of the pertinent performance; (4) In any other manner as the contracting parties may mutually agree upon before commencement of the pertinent performance; or (5) In the absence of agreement between the parties, the provisions of §103D- 501(b)(5), HRS, as amended, shall apply. (b) The contractor shall be required to submit cost or pricing data if any adjustment in contract price is subject to the provisions of §103D-312, HRS, as amended. The submission of any cost or pricing data shall be made for any price adjustment subject to the provisions of subchapter 15, §3-122-123, HAR, as amended. A fully executed change order or other document permitting billing for the adjustment in price under any method listed in paragraphs (a)(1) through (a)(5) of this subsection shall be issued within ten (10) days after agreement on the method of adjustment. 12.9 NOVATION OR CHANGE OF NAME r (a) No assignment. No County contract is transferable, or otherwise assignable, without the written consent of the chief procurement officer or the head of the purchasing agency provided that a contractor may assign monies receivable under a contract after due notice to the County. (b) Recognition of a successor in interest; assignment. When in the best interest of the County, a successor in interest may be recognized in an assignment agreement in which the transferor, the transferee, and the County shall agree that: the transferee assumes all of the transferor's obligations; the transferor remains liable for all obligations under the contract but waives all rights under the contract as against the County; and the transferor shall continue to furnish, and the transferee shall also furnish, all required bonds. (c) Change of name. When a contractor requests to change the name in which it holds a contract with the County, the chief procurement officer responsible for the contract shall, upon receipt of a document indicating such change of name (for example an amendment to the articles of incorporation of the corporation), enter into an agreement with the requesting contractor to effect such a change of name. The agreement changing the name shall specifically indicate that no other terms and conditions of the contract are thereby changed. 51 (d) Reports. All change of name or assignment agreements effected hereunder other than by the chief procurement officer shall be reported to the chief procurement officer within thirty. (30) days of the date that the agreement becomes effective. 12.10 CLAIMS BASED ON A PROCUREMENT OFFICER'S ACTIONS OR OMISSIONS (a) Notice of claim. If any action or omission on the part of the chief procurement officer or his/her designee, requiring performance changes within the scope of the contract constitutes the basis for a claim by the contractor for additional compensation, damages, or an extension of time for completion, the contractor shall continue with performance of the contract in compliance with the directions or orders of such officials, but by so doing, the contractor shall not be deemed to have prejudiced any claim for additional compensation, damages, or an extension of time for completion; provided: (1) The contractor shall have given written notice to the chief procurement officer or his/her designee: (A) Prior to the commencement of the work involved, if at that time the contractor knows of the occurrence of such action or omission; (B) Within thirty (30) days after the contractor knows of the occurrence of such action or omission, if the contractor did not have such knowledge prior to the commencement of the work; (C) Within such further time as may be allowed by the chief procurement officer or his/her designee, in writing. (2) This notice shall state that the contractor regards the act or omission as a reason which may entitle the contractor to additional compensation, damages, or an extension of time. The chief procurement officer, or his/her designee, upon receipt of such notice may rescind such action, remedy such omission, or take such other steps as may be deemed advisable; (3) The notice required by subparagraph (1) describes as clearly as practicable at the time the reasons why the contractor believes that additional compensation, damages, or an extension of time may be remedies to which the contractor is entitled; and (4) The contractor maintains and, upon request, makes available to the chief procurement officer or his/her designee, within a reasonable time, detailed records to the extent practicable, of the claimed additional costs or basis for an extension of time in connection with such changes. (b) Limitation of clause. Nothing herein contained, shall excuse the contractor from compliance with any rules of law precluding any County officers and any contractor from acting in collusion or bad faith in issuing or performing change orders which are clearly not within the scope of the contract. (c) Adjustments of price. Any adjustment in the contract price made pursuant to this subsection shall be determined in accordance with section 12.8 (PRICE ADJUSTMENT) of these GTCs. 52 12.11 TERMINATION FOR DEFAULT (a) Termination for default. If the contractor refuses or fails to perform any of the provisions of this contract with such diligence as will ensure its completion within the time specified in this contract, or any extension thereof, otherwise fails to timely satisfy the contract provisions, or commits any other substantial breach of this contract, the chief procurement officer or his/her designee may notify the contractor in writing of the delay or non-performance, and if not cured in ten (10) days or any longer time specified in writing, the chief procurement officer or his/her designee may terminate the contractor's right to proceed with the contract or such part of the contract as to which there has been delay or other breach of contract. In the event of termination in whole or in part, the County may procure similar goods or services in a manner and upon terms deemed appropriate. The contractor shall continue performance of the contract to the extent it is not terminated and shall be liable for excess costs incurred in procuring similar goods or services. (b) Contractor's duties. Notwithstanding termination of the contract and subject to any directions from the chief procurement officer or his/her designee, the contractor shall take timely, reasonable, and necessary action to protect and preserve property in the possession of the contractor in which the County has an interest. (c) Compensation. Payment for completed goods delivered and accepted by the County shall be at the contract price. Payment for the protection and preservation of property shall be in an amount agreed upon by the contractor and the chief procurement officer; if the parties fail to agree, the chief procurement officer shall set an amount subject to the contractor's rights under §3-126, HAR, as amended. The County may withhold from amounts due the contractor such sums as the Chief Procurement Officer deems to be necessary to protect the County against loss because of outstanding liens or claims of former lien holders and to reimburse the County for the excess costs incurred in procuring similar goods and services. (d) Excuse for nonperformance or delayed performance. Except with respect to defaults of subcontractors, the contractor shall not be in default by reason of any failure in performance of this contract in accordance with its terms, including any failure by the contractor to make progress in the prosecution of the work hereunder which endangers such performance, if the contractor has notified the chief procurement officer or his/her designee within fifteen (15) days after the cause of the delay and the failure arises out of causes such as: acts of God; acts of the public enemy; acts of the County and any other governmental body in its sovereign or contractual capacity; fires; floods; epidemics; quarantine restrictions; strikes or other labor disputes; freight embargoes; or unusually severe weather; or for delay due to reasons beyond the contractor's control. If the failure to perform is caused by the failure of a subcontractor to perform or to make progress, and if such failure arises out of causes similar to those set forth above, the contractor shall not be deemed to be in default, unless the goods or services to be furnished by the subcontractor were unreasonably obtainable from other sources in sufficient time to permit the contractor to meet the contract requirements. Upon request of the contractor, the chief procurement officer shall ascertain the facts and extent of such failure, and, if the chief procurement officer determines that any failure to perform was occasioned by any one or more of the excusable causes, and that, but for the excusable cause, the contractor's progress and performance would have met the terms of the contract, the 53 delivery schedule shall be revised accordingly, subject to the rights of the County under section 12.12 (TERMINATION FOR CONVENIENCE) for fixed -price contracts, and under section 12.13 (TERMINATION FOR COST -REIMBURSEMENT CONTRACTS) for cost -reimbursement contracts of these GTCs. As used in this subsection, the term "subcontractor" means subcontractor at any tier. (e) Additional rights and remedies. The. rights and remedies provided in this section 12.11 are in addition to any other rights and remedies provided by law or under this contract. 12.12 TERMINATION FOR CONVENIENCE 1 (a) Termination for convenience. The chief procurement officer may, when the interests of the County so require, terminate this contract in whole or in part, for the convenience of the County. The chief procurement officer shall give written notice of the termination to the contractor specifying the part of the contract terminated and when termination becomes effective. (b) Contractor's obligations. The contractor shall incur no further obligations in connection with the terminated work and on the dates set in the notice of termination the contractor will stop work to the extent specified. The contractor shall also terminate outstanding orders and subcontracts as they relate to the terminated work. The contractor shall settle the liabilities and claims arising out of the termination of subcontracts and orders connected with the terminated work subject to the County's approval. The chief procurement officer may direct the contractor to assign the contractor's right, title, and interest under terminated orders or subcontracts to the County. The contractor must still complete the work not terminated by the notice of termination and may incur obligations as are necessary to do so. (c) Right to goods. The chief procurement officer may require the contractor to transfer title and deliver to the County in the manner and to the extent directed: any completed goods; and the partially completed goods and materials, parts, tools, dies, jigs, fixtures, plans, drawings, information, and contract rights, hereinafter called "manufacturing material," as the contractor has specifically produced or specially acquired for the performance of the terminated part of this contract. The contractor shall, upon direction of the chief procurement officer, protect and preserve property in the possession of the contractor in which the County has an interest. If the chief procurement officer does not exercise this right, the contractor shall use best the contractor's efforts to sell such goods and manufacturing materials. Use of this section in no way implies that the County has breached the contract by exercise of the termination for convenience clause. (d) Compensation. f (1) The contractor shall submit a termination claim specifying the amounts due based on the termination for convenience together with cost or pricing data to the extent required by subchapter 15, §3-122, HAR, as amended, bearing on such claim. If the contractor fails to file a termination claim within one (1) year from the effective date of termination, the chief procurement officer may pay the contractor, if at all, an amount set in accordance with subparagraph (3) below. t 54 (2) The chief procurement officer and the contractor may agree to settlement provided the contractor has filed a termination claim supported by cost or pricing data to the extent required by subchapter 15, §3-122, HAR, as amended, and that the settlement does not exceed the total contract price plus settlement costs reduced by payments previously made by the County, the proceeds of any sales of goods and manufacturing materials under section 12.12(c) (RIGHT TO GOODS) of these GTCs, and the contract price of the work not terminated. (3) Absent complete agreement under subparagraph (2), the chief procurement officer shall pay the contractor the following amounts, provided payments agreed to under subparagraph (2) shall not duplicate payments under this paragraph for the following: (A) Contract prices for goods or services accepted under the contract. (B) Costs incurred in preparation and performing the terminated portion of the work plus a five percent (5%) markup on actual direct costs on such portion of the work, such markup shall not include anticipatory profit or consequential damages, less amounts paid or to be paid for accepted goods or services; provided, that if it appears that the contractor would have sustained a loss if the entire contract would have been completed, no markup shall be allowed or included and the amount of compensation shall be reduced to reflect the anticipated rate of loss. (C) Subject to prior approval of the chief procurement officer, the costs of settling and paying claims arising out of the termination of subcontracts or orders pursuant to subparagraph (3)(B). Subcontractors shall be entitled to a markup of no more than ten percent (10%) on direct costs incurred to the date of termination. These costs must not include costs paid in accordance with subparagraph (3)(B). (D) The total sum to be paid the contractor under this subparagraph (3) shall not exceed the total contract price reduced by the amount of payments otherwise made, the proceeds of any sales of goods and manufacturing materials under section 12.12(d)(2) (TERMINATION FOR CONVENIENCE) of these GTCs, and the contract price of work not terminated. (e) Cost claimed, agreed to, or established under clauses (B) and (C) of subparagraph (3) shall be in accordance with §3-123, HAR, as amended. 55 12.13 TERMINATION FOR COST -REIMBURSEMENT CONTRACTS The only cost recognized as allowable shall be in accordance with the cost principles set forth in §3-123, HAR, as amended, provided that if a written determination is approved by the chief procurement officer, such cost principle may be modified by the contract. 56 SECTION 13 - PAYMENT 13.1 METHOD OF PAYMENT Payments will be authorized by the chief procurement officer after completion of performance, or delivery and acceptance by the Officer -in -Charge of all goods, and services stipulated in the contract or Purchase Order. Payments will be made as soon thereafter as the regular course of business will allow; provided, however, that payments shall be made no later than thirty (30) days following receipt of the statement for goods received and services completed, and that all statutory and contractual requirements for final payment are satisfied. 13.2 FINAL PAYMENT In accordance with §103-53, HRS, as amended, final payment under any contract of $25,000 or more shall not be made until the contractor has filed with the purchasing agency a tax clearance from the State Director of Taxation that all delinquent taxes levied or accrued under State statutes have been paid. 13.3 INTEREST Interest on amounts ultimately determined to be due to a contractor or the County shall be payable at the statutory rate applicable to judgments against the County under §662, HRS, as amended, from the date the claim arose through the date of decision or judgment, whichever is later. 13.4 PROMPT PAYMENT BY CONTRACTORS TO SUBCONTRACTORS (a) Generally. Any money paid to a contractor shall be disbursed to subcontractor within ten (10) days after receipt of the money in accordance with the terms of the subcontract; provided that the subcontractor has met all the terms and conditions of the subcontract and there are no bona fide disputes on which the procurement agency has withheld payment. (b) Final payment. Upon final payment to the contractor, full payment to the subcontractor, including retainage, shall be made within ten (10) days after receipt of the money; provided that there are no bona fide disputes over the subcontractor's performance under the subcontract. (c) Penalty. The Procurement Officer or the contractor, as applicable, will be subject to a penalty of one and one-half per cent (1.5%) per month upon outstanding amounts due that were not timely paid by the responsible party under the following conditions. Where a subcontractor has provided evidence to the contractor of satisfactorily completing all work under their subcontract and has provided a properly documented final payment request as described in section 13.4(d) (PROMPT PAYMENT BY CONTRACTORS TO SUBCONTRACTORS) of these GTCs, and: 57 (1) Has provided to the contractor an acceptable performance and payment bond for - the project executed by a surety company authorized to do business in the State, as provided in §103-32.1, HRS, as amended; or (2) The following has occurred: (A) A period of ninety (90) days after the day on which the last of the labor was done or performed and the last of the material was furnished or supplied has elapsed without written notice of a claim given to contractor and the surety, as provided for in §103D-324, HRS, as amended; and (B) The subcontractor has provided to the contractor, an acceptable release of retainage bond, executed by a surety company authorized to do business in the State, in an amount of not more than two times the amount being retained or withheld by the contractor; any other bond acceptable to the contractor; or any other form of mutually acceptable collateral, then, all sums retained or withheld from a subcontractor and otherwise due to the subcontractor for satisfactory performance underthe subcontract shall be paid by the chief procurement officer to the contractor and subsequently, upon receipt from the chief procurement officer, by the contractor to the subcontractor within the applicable time periods specified in section 13.4(b) (PROMPT PAYMENT BY CONTRACTORS TO SUBCONTRACTORS) of these GTCs and §103-10, HRS, as amended. The penalty may be withheld from future payment due the contractor if the contractor was the responsible party. If a contractor has violated section 13.4(b) (PROMPT PAYMENT BY CONTRACTORS TO SUBCONTRACTORS) of these GTCs three or more times within two (2) years of the first violation, the contractor shall be referred by the chief procurement officer to the contractor's respective license board for action under §444-17(14), HRS, as amended. (d) Final payment request form. A properly documented final payment request from a subcontractor, as required by section 13.4(c) (PROMPT PAYMENT BY CONTRACTORS TO SUBCONTRACTORS) of these general terms and conditions, shall include: (1) Substantiation of the amounts requested; I (2) A certification by the subcontractor, to the best of the subcontractor's knowledge and belief, that: (A) The amounts requested are only for performance in accordance with the specifications, terms, and conditions of the subcontract; (B) The subcontractor has made payments due to its subcontractor and suppliers from previous payments received under the subcontract and will make timely payments from the proceeds of the payment covered by the certification, in accordance with their subcontract agreements and the requirements of this section; and (C) The payment request does not include any amounts that the subcontractor intends to withhold or retain from a subcontractor or supplier in accordance with the terms and conditions of their subcontract; and (3) The submission of documentation confirming that all other terms and conditions required under the subcontract agreement have been fully satisfied. (4) The chief procurement officer shall return any final payment request that is defective to the contractor within seven (7) days after receipt, with a statement identifying the defect. (5) In the case of a construction contract, a payment request made by a contractor to the chief procurement officer that includes a request for sums that were withheld or retained from a subcontractor and are due to a subcontractor may not be approved under section 13.4(c) (PROMPT PAYMENT BY CONTRACTORS TO SUBCONTRACTORS) of these general terms and conditions unless the payment request includes: (A) The amounts requested are only for performance in accordance with the specifications, terms, and conditions of the subcontract; (B) The subcontractor has made payments due to its subcontractor and suppliers from previous payments received under the contract and will make timely payments from the proceeds of the payment covered by the certification, in accordance with their subcontract agreements and the requirements of this section; and (C) The payment request does not include any amounts that the contractor intends to withhold or retain from a subcontractor or supplier in accordance with the terms and conditions of their subcontract. (D) The chief procurement officer shall return any final payment request that is defective to the contractor within seven (7) days after receipt, with a statement identifying the defect. (e) This section 13 of these GTCs shall not be construed to impair the right of a contractor or a subcontractor at any tier to negotiate and to include in their respective subcontracts provisions that provide for additional terms and conditions that are requested to be met before the subcontractor shall be entitled to receive final payment under section 13.4(c) (PROMPT PAYMENT BY CONTRACTORS TO SUBCONTRACTORS) of these GTCs; provided that any such payments withheld shall be withheld by the chief procurement officer. 59 SECTION 14 — MISCELLANEOUS 14.1 HEADINGS All headings are for convenience only and shall not affect the interpretation of this contract. 14.2 NO WAIVER No failure of either County or contractor to insist upon the strict performance by the other of any covenant, term or condition of this contract, nor any failure to exercise any right or remedy consequent upon a breach of any covenant, term, or condition of this contract, shall constitute a waiver of any such breach of such covenant, term or condition. No waiver of any breach shall affect or alter this contract, and each and every covenant, condition, and term hereof shall continue in full force and effect without respect to any existing or subsequent breach. 14.3 SEVERABILITY The unenforceability, invalidity, or illegality of any provision of this contract shall not render any other provision of this contract unenforceable, invalid, or illegal. 14.4 DELEGATION OF AUTHORITY TO PROCUREMENT OFFICER (a) Subject to subsection (b), unless a provision of the contract specifies that the authority to settle and resolve controversies and to issue decisions is reserved to the head of the purchasing agency, the authority is delegated to the chief procurement officer. (b) The settlement or resolution of controversies involving claims in excess of fifty thousand dollars ($50,000.00) is subject to the prior written approval of the head of the purchasing agency. The chief procurement officer shall prepare a recommended decision for the head of purchasing agency. 14.5 DRAFTING AMBIGUITIES The Parties acknowledge that they have the right to be advised by legal counsel with respect to the negotiations, terms and conditions of this contract, and the decision of whether to seek advice of legal counsel with respect to this contract is the sole responsibility of each Party. This contract shall not be construed in favor of or against either Party by reason of the extent to which each party participated in the drafting of the contract. 14.6 AMENDMENTS Neither this contract nor any provision hereof may be changed, modified, amended or waived except by a written agreement executed by duly authorized representatives of County and contractor. Any alleged oral amendments have no force or effect. IC 14.7 SURVIVAL OF OBLIGATIONS All representations, indemnifications, warranties, and guarantees made in, required by, or given in accordance with this contract, as well as all continuing obligations indicated in this contract, shall survive; completion and acceptance of performance and termination, expiration or completion of the contract. 14.8 CONFIDENTIALITY OF SERVICES All services performed by contractor, and any subcontractor(s) if applicable, including but not limited to all drafts, data, information, correspondence, proposals, reports of any nature, estimates compiled or composed by contractor, are for the sole use of County, its agents, and employees. Neither the documents nor their contents shall be released by contractor or any subcontractor to any third party without the prior written consent of County. This provision does not apply to information that: (1) was publicly known, or otherwise known to contractor, at the time it was disclosed to contractor by County; (2) subsequently becomes publicly known through no act or omission of contractor; or (3) otherwise becomes known to contractor other than through disclosure by County. 14.9 NO THIRD PARTY OBLIGATIONS Except as may be specifically set forth in this contract, none of the provisions of this contract are intended to benefit any third party not specifically referenced herein. No party other than County and contractor shall have the right to enforce any of the provisions of this contract. 14.10 INSOLVENCY If contractor enters into proceedings relating to bankruptcy, whether voluntary or involuntary, contractor agrees to furnish, by certified mail or electronic commerce method authorized by the contract, written notification of the bankruptcy to the purchasing agency and the Officer in Charge responsible for administering the contract. This notification shall be furnished within five (5) days of the initiation of the proceedings relating to bankruptcy filing. This notification shall include the date on which the bankruptcy petition was filed, the identity of the court in which the bankruptcy petition was filed, and a listing of County contract numbers and contracting offices for all County contracts against which final payment has not been made. This obligation remains in effect until final payment is made under this contract. 14.11 ACTIONS OF THE COUNTY IN ITS GOVERNMENTAL CAPACITY Nothing in this contract shall be interpreted as limiting the rights and obligations of the County in its governmental or regulatory capacity. 14.12 GOVERNING LAW This contract shall be deemed to be made under, construed in accordance with, and governed by the laws of the State of Hawaii without regard to the conflicts or choice of law provisions hereof. 61 14.13 COUNTERPARTS This contract may be executed in one or more counterparts, each of which shall be deemed an original, and will become effective and binding on the parties as of the date of the last signature. Delivery of counterpart may be effectuated by transmitting a signed signature page by emailed PDF or other mutually agreeable electronic means. 14.14 NOTICES REQUIRED UNDER EXECUTED CONTRACT Any notice required to be given by a party to this contract shall be (a) delivered personally, or (b) sent by United States first class mail, postage prepaid (or by a recognized courier service, such as Federal Express or UPS), or (c) sent by email. Notice to the County shall be sent to the Officer-in-Charge's mailing address or email address indicated in the contract. Notice to the contractor shall be sent to the contractor's mailing address or email address indicated in the contract. A notice shall be deemed to have been received three (3) days after mailing or at the time of actual receipt, whichever is earlier. Either party may change its mailing address or email address by giving written notification of the change to the other party. 62 EXHIBIT A SURETY [BID] [PROPOSAL] BOND KNOW TO ALL BY THESE PRESENTS: That we, (Full Name or Legal Title of Offeror) as Offeror, hereinafter called Principal, and (Name of Bonding Company) as Surety, hereinafter called Surety, a corporation authorized to transact business as a Surety in the State of Hawaii, are held and firmly bound unto (State/County Entity) as Owner, hereinafter called Owner, in the penal sum of (Required Amount of Bid Security) Dollars ($ ), lawful money of the United States of America, for the payment of which sum well and truly to be made, the said Principal and the said Surety bind ourselves, our heirs, executors, administrators, successors and assigns, jointly and severally, firmly by these presents. WHEREAS: The Principal has submitted an offer for (Project by Number and Brief Description) NOW, THEREFORE: The condition of this obligation is such that if the Owner shall reject said offer, or in the alternate, accept the offer of the Principal and the Principal shall enter into a Contract with the Owner in accordance with the terms of such offer, and give such bond or bonds as may be specified in the solicitation or Contract Documents with good and sufficient surety for the faithful performance of such Contract and for the prompt payment of labor and material furnished in the prosecution thereof as specified in the solicitation then this obligation shall be null and void, otherwise to remain in full force and effect. Signed this day of (Seal) Name of Principal (Offeror) Signature Title (Seal) Name of Surety Signature Title EXHIBIT B PERFORMANCE BOND (SURETY) KNOW TO ALL BY THESE PRESENTS: That (Full Legal Name and StreetAddress of Contractor) as Contractor, hereinafter called Principal, and (Name and Street Address of Bonding Company) as Surety, hereinafter called Surety, a corporation(s) authorized to transact business as a surety in the State of Hawaii, are held and firmly bound unto the (State/County Entity) its successors and assigns, hereinafter called Obligee, in the amount of DOLLARS ($ ), to which payment Principal and Surety bind themselves, their heirs, executors, administrators, successors and assigns, jointly and severally, firmly by these presents. WHEREAS, the above -bound Principal has signed a Contract with Obligee on , for the following project: hereinafter called Contract, which Contract is incorporated herein by reference and made a part hereof. NOW THEREFORE, the condition of this obligation is such that: If the Principal shall promptly and faithfully perform, and fully complete the Contract in strict accordance with the terms of the Contract as said Contract may be modified or amended from time to time; then this obligation shall be void; otherwise, to remain in full force and effect. Surety to this Bond hereby stipulates and agrees that no changes, extensions of time, alterations, or additions to the terms of the Contract, including the work to be performed thereunder, and the specifications or drawings accompanying same, shall in any way affect its obligation on this bond, and it does hereby waive notice of any such changes, extensions of time, alterations, or additions, and agrees that they shall become part of the Contract. In the event of Default by the Principal, of the obligations under the Contract, then after written Notice of Default from the Obligee to the Surety and the Principal and subject to the limitation of the penal sum of this bond, Surety shall remedy the Default, or take over the work to be performed under the Contract and complete such work, or pay moneys to the Obligee in satisfaction of the surety's performance obligation on this bond. Signed this day of (Seal) Name of Principal (Contractor) Signature Title (Seal) Name of Surety Signature Title *ALL SIGNATURES MUST BE ACKNOWLEDGED BY A NOTARY PUBLIC EXHIBIT C PERFORMANCE BOND KNOW TO ALL BY THESE PRESENTS: That we, (Full Legal Name and StreetAddress of Contractor) as Contractor, hereinafter called Contractor, is held and firmly bound unto the (State/County Entity) Obligee, in the amount of its successors and assigns, as Obligee, hereinafter called (DollarAmount of Contract) DOLLARS ($ ), lawful money of the United States of America, for the payment of which to the said Obligee, well and truly to be made, Contractor binds itself, its heirs, executors, administrators, successors and assigns, firmly by these presents. Said amount is evidenced by: ❑ Legal tender; ❑ Share Certificate unconditionally assigned to or made payable at sight to Description ❑ Certificate of Deposit, No. , dated , issued by drawn on a bank, savings institution or credit union insured by the Federal Deposit Insurance Corporation or the National Credit Union Administration, payable at sight or unconditionally assigned to ❑ Cashier's Check No. , dated , issued by drawn on , a bank, savings institution or credit union insured by the Federal Deposit Insurance Corporation or the National Credit Union Administration, payable at sight or unconditionally assigned to ❑ Teller's Check No. , dated , issued by drawn on a bank, savings institution or credit union insured by the Federal Deposit Insurance Corporation or the National Credit Union Administration, payable at sight or unconditionally assigned to ❑ Treasurer's Check No. , dated , issued by drawn on a bank, savings institution or credit union insured by the Federal Deposit Insurance Corporation or the National Credit Union Administration, payable at sight or unconditionally assigned to ❑ Official Check No. , dated , issued by drawn on , a bank, savings institution or credit union insured by the Federal Deposit Insurance Corporation or the National Credit Union Administration, payable at sight or unconditionally assigned to ❑ Certified Check No. , dated , accepted by a bank, savings institution or credit union insured by the Federal Deposit Insurance Corporation or the National Credit Union Administration, payable at sight or unconditionally assigned WHEREAS: The Contractor has by written agreement dated contract with Obligee for the following Project: entered into a hereinafter called Contract, which Contract is incorporated herein by reference and made a part hereof. NOW, THEREFORE, The condition of this obligation is such that, if Contractor shall promptly and faithfully perform the Contract in accordance with, in all respects, the stipulations, agreements, covenants and conditions of the Contract as it now exists or may be modified according to its terms, and shall deliver the Project to the Obligee, or to its successors or assigns, fully completed as in the Contract specified and free from all liens and claims and without further cost, expense or charge to the Obligee, its officers, agents, successors or assigns, free and harmless from all suits or actions of every nature and kind which may be brought for or on account of any injury or damage, direct or indirect, arising or growing out of the doing of said work or the repair or maintenance thereof or the manner of doing the same or the neglect of the Contractor or its agents or servants or the improper performance of the Contract by the Contractor or its agents or servants or from any other cause, then this obligation shall be void; otherwise it shall be and remain in full force and effect. AND IT IS HEREBY STIPULATED AND AGREED that suit on this bond may be brought before a court of competent jurisdiction without a jury, and that the sum or sums specified in the said Contract as liquidated damages, if any, shall be forfeited to the Obligee, its successors or assigns, in the event of a breach of any, or all, or any part of, the covenants, agreements, conditions, or stipulations contained in the Contract or in this bond in accordance with the terms thereof. The amount of this bond may be reduced by and to the extent of any payment or payments made in good faith hereunder. Signed this day of (Seal) Name of Contractor Signature Title *ALL SIGNATURES MUST BE ACKNOWLEDGED BY A NOTARY PUBLIC EXHIBIT D LABOR AND MATERIAL PAYMENT BOND (SURETY) KNOW TO ALL BY THESE PRESENTS: That (Full Legal Name and StreetAddress of Contractor) as Contractor, hereinafter called Principal, and (Name and Street Address of Bonding Company) as Surety, hereinafter called Surety, a corporation(s) authorized to transact business as a surety in the State of Hawaii, are held and firmly bound unto the (State/County Entity) its successors and assigns, hereinafter called Obligee, in the amount of Dollars ($ ), to which payment Principal and Surety bind themselves, their heirs, executors, administrators, successors and assigns, jointly and severally, firmly by these presents. WHEREAS, the above -bound Principal has signed Contract with the Obligee on for the following project: hereinafter called Contract, which Contract is incorporated herein by reference and made a part hereof. NOW THEREFORE, the condition of this obligation is such that if the Principal shall promptly make payment to any Claimant, as hereinafter defined, for all labor and materials supplied to the Principal for use in the performance of the Contract, then this obligation shall be void; otherwise, to remain in full force and effect. 1. Surety to this Bond hereby stipulates and agrees that no changes, extensions of time, alterations, or additions to the terms of the Contract, including the work to be performed thereunder, and the specifications or drawings accompanying same, shall in any way affect its obligation on this bond, and it does hereby waive notice of any such changes, extensions of time, alterations, or additions, and agrees that they shall become part of the Contract. 2. A "Claimant" shall be defined herein as any person who has furnished labor or materials to the Principal for the work provided in the Contract. Every Claimant who has not been paid amounts due for labor and materials furnished for work provided in the Contract may institute an action against the Principal and its Surety on this bond at the time and in the manner prescribed in Section 103D-324, Hawaii Revised Statutes, and have the rights and claims adjudicated in the action, and judgment rendered thereon; subject to the Obligee's priority on this bond. If the full amount of the liability of the Surety on this bond is insufficient to pay the full amount of the claims, then after paying the full amount due the Obligee, the remainder shall be distributed pro rata among the claimants. Signed this day of , (Seal) Name of Principal (Contractor) Signature Title (Seal) Name of Surety Signature Title *ALL SIGNATURES MUST BE ACKNOWLEDGED BY A NOTARY PUBLIC EXHIBIT E LABOR AND MATERIAL PAYMENT BOND KNOW TO ALL BY THESE PRESENTS: That we, (Full Legal Name and Street Address of Contractor) as Contractor, hereinafter called Contractor, is held and firmly bound unto the (State/County Entity) Obligee, in the amount of its successors and assigns, as Obligee, hereinafter called (DollarAmount of Contract) DOLLARS ($ ), lawful money of the United States of America, for the payment of which to the said Obligee, well and truly to be made, Contractor binds itself, its heirs, executors, administrators, successors and assigns, firmly by these presents. Said amount is evidenced by: ❑ Legal tender; ❑ Share Certificate unconditionally assigned to or made payable at sight to Description ❑ Certificate of Deposit, No. , dated , issued by drawn o.n , a bank, savings institution or credit union insured by the Federal Deposit Insurance Corporation or the National Credit Union Administration, payable at sight or unconditionally assigned to ❑ Cashier's Check No. , dated , issued by drawn on , a bank, savings institution or credit union insured by the Federal Deposit Insurance Corporation or the National Credit Union Administration, payable at sight or unconditionally assigned to ❑ Teller's Check No. , dated , issued by drawn on a bank, savings institution or credit union insured by the Federal Deposit Insurance Corporation or the National Credit Union Administration, payable at sight or unconditionally assigned to ❑ Treasurer's Check No. , dated . issued by drawn on a bank, savings institution or credit union insured by the Federal Deposit Insurance Corporation or the National Credit Union Administration, payable at sight or unconditionally assigned to ❑ Official Check*No. , dated , issued by drawn on , a bank, savings institution or credit union insured by the Federal Deposit Insurance Corporation or the National Credit Union Administration, payable at sight or unconditionally assigned to ❑ Certified Check No. , dated , accepted by a bank, savings institution or credit union insured by the Federal Deposit Insurance Corporation or the National Credit Union Administration, payable at sight or unconditionally assigned to WHEREAS: The Contractor has by written agreement dated a contract with Obligee for the following Project: entered into hereinafter called Contract, which Contract is incorporated herein by reference and made a part hereof. NOW, THEREFORE, The condition of this obligation is such that, if Contractor shall promptly and faithfully perform the Contract in accordance with, in all respects, the stipulations, agreements, covenants and conditions of the Contract as it now exists or may be modified according to its terms, free from all liens and claims and without further cost, expense or charge to the Obligee, its officers, agents, successors or assigns, free and harmless from all suits or actions of every nature and kind which may be brought for or on account of any injury or damage, direct or indirect, arising or growing out of the doing of said work or the repair or maintenance thereof or the manner of doing the same or the neglect of the Contractor or its agents or servants or the improper performance of the Contract by the Contractor or its agents or servants or from any other cause, and shall promptly pay all persons supplying labor and materials for the performance of the Contract, then this obligation shall be void; otherwise it shall be and remain in full force and effect. AND IT IS HEREBY STIPULATED AND AGREED that suit on this bond may be brought before a court of competent jurisdiction without a jury, and that the sum or sums specified in the said Contract as liquidated damages, if any, shall be forfeited to the Obligee, its successors or assigns, in the event of a breach of any, or all, or any part of, the covenants, agreements, conditions, or stipulations contained in the Contract or in this bond in accordance with the terms thereof. AND IT IS HEREBY STIPULATED AND AGREED that this bond shall inure to the benefit of any and all persons entitled to file claims for labor performed or materials furnished in said work so as to give any and all such persons a right of action as contemplated by Sections 103D-324(d) and 103D-324(e), Hawaii Revised Statutes. The amount of this bond shall be reduced by and to the extent of any payment or payments made in good faith hereunder, inclusive of the payment of mechanics' liens which may be filed of record against the Project, whether or not claim for the amount of such lien be presented under and against this bond. Signed this day of (Seal) Name of Contractor Signature Title *ALL SIGNATURES MUST BE ACKNOWLEDGED BY A NOTARY PUBLIC EXHIBIT F [Reserved] EXHIBIT G PERFORMANCE BOND (SURETY) FOR SUPPLEMENTAL AGREEMENT FOR GOODS AND SERVICES KNOW TO ALL BY THESE PRESENTS: That (Full Legal Name and Street Address of Contractor) as Contractor, hereinafter called Principal, and (Name and Street Address of Bonding Company) as Surety, hereinafter called Surety, a corporation(s) authorized to transact business as a surety in the State of Hawaii, are held and firmly bound unto the (State/County Entity) its successors and assigns, hereinafter called Obligee, in the amount of DOLLARS ($ ), to which payment Principal and Surety bind themselves, their heirs, executors, administrators, successors and assigns, jointly and severally, firmly by these presents. dated WHEREAS, the above -bound Principal has entered into a Contract with Obligee for and entered into Supplemental Agreement No. , dated forthe period ; hereinafter collectively called Contract, which Contract is incorporated herein by reference and made a part hereof. NOW THEREFORE, the condition of this obligation is such that: If the Principal shall promptly and faithfully perform, and fully complete the Contract in strict accordance with the terms of the Contract as said Contract may be modified or amended from time to time; then this obligation shall be void; otherwise, to remain in full force and effect. Surety to this Bond hereby stipulates and agrees that no changes, extensions of time, alterations, or additions to the terms of the Contract, including the work to be performed thereunder, and the specifications or drawings accompanying same, shall in any way affect its obligation on this bond, and it does hereby waive notice of any such changes, extensions of time, alterations, or additions, and agrees that they shall become part of the Contract. In the event of Default by the Principal, of the obligations under the Contract, then after written Notice of Default from the Obligee to the Surety and the Principal, Surety shall either remedy the Default, or take over the work to be performed under the Contract and complete such work, subject, however, to the limitation of the penal sum of this bond. Signed this day of (Seal) Name of Principal (Contractor) Signature Title (Seal) Name of Surety Signature Title *ALL SIGNATURES MUST BE ACKNOWLEDGED BY A NOTARY PUBLIC EXHIBIT H PERFORMANCE BOND FOR SUPPLEMENTAL AGREEMENT FOR GOODS AND SERVICES KNOW TO ALL BY THESE PRESENTS: That we, (Full Legal Name and Street Address of Contractor) as Contractor, hereinafter called Contractor, is held and firmly bound unto the its successors and assigns, as Obligee, hereinafter called Obligee, (State/County Entity) in the amount of (DollarAmount of Contract) DOLLARS ($ ), lawful money of the United States of America, for the payment of which to the said Obligee, well and truly to be made, Contractor binds itself, its heirs, executors, administrators, successors and assigns, firmly by these presents. Said amount is evidenced by: ❑ Legal tender; ❑ Share Certificate unconditionally assigned to or made payable at sight to Description ❑ Certificate of Deposit, No. dated issued by drawn on a bank, savings institution or credit union insured by the Federal Deposit Insurance Corporation or the National Credit Union Administration, payable at sight or unconditionally assigned to ❑ Cashier's Check No. dated drawn on a bank, savings institution or credit union insured by the Federal Deposit Insurance Corporation or the National Credit Union Administration, payable at sight or unconditionally assigned to ❑ Teller's Check No. , dated , drawn on a bank, savings institution or credit union insured by the Federal Deposit Insurance Corporation or the National Credit Union Administration, payable at sight or unconditionally assigned to ❑ Treasurer's Check No. . dated , drawn on a bank, savings institution or credit union insured by the Federal Deposit Insurance Corporation or the National Credit Union Administration, payable at sight or unconditionally assigned to ❑ Official Check No. , dated , drawn on a bank, savings institution or credit union insured by the Federal Deposit Insurance Corporation or the National Credit Union Administration, payable at sight or unconditionally assigned to ❑ Certified Check No. , dated , accepted by a bank, savings institution or credit union insured by the Federal Deposit Insurance Corporation or the National Credit Union Administration, payable at sight or unconditionally assigned to WHEREAS: The Contractor has by written agreement dated contract with Obligee for the following Project: entered into a and entered into Supplemental Agreement No. , dated for the period : hereinafter collectively called Contract, which Contract is incorporated herein by reference and made a part hereof: NOW, THEREFORE, The condition of this obligation is such that, if Contractor shall promptly and faithfully perform the Contract in accordance with, in all respects, the stipulations, agreements, covenants and conditions of the Contract as it now exists or may be modified according to its terms, and shall deliver the Project to the Obligee, or to its successors or assigns, fully completed as in the Contract specified and free from all liens and claims and without further cost, expense or charge to the Obligee, its officers, agents, successors or assigns, free and harmless from all suits or actions of every nature and kind which may be brought for or on account of any injury or damage, direct or indirect, arising or growing out of the doing of said work or the repair or maintenance thereof or the manner of doing the same or the neglect of the Contractor or its agents or servants or the improper performance of the Contract by the Contractor or its agents or servants or from any other cause, then this obligation shall be void; otherwise it shall be and remain in full force and effect. AND IT IS HEREBY STIPULATED AND AGREED that suit on this bond may be brought before a court of competent jurisdiction without a jury, and that the sum or sums specified in the said Contract as liquidated damages, if any, shall be forfeited to the Obligee, its successors or assigns, in the event of a breach of any, or all, or any part of, the covenants, agreements, conditions, or stipulations contained in the Contract or in this bond in accordance with the terms thereof. The amount of this bond may be reduced by and to the extent of any payment or payments made in good faith hereunder. Signed this day of , (Seal) Name of Contractor Signature Ir1'li C' *ALL SIGNATURES MUST BE ACKNOWLEDGED BY A NOTARY PUBLIC EXHIBIT I CONTRACTOR ACKNOWLEDGMENT [FOR USE WITH PERFORMANCE AND, PAYMENT BONDS] CONTRACTOR ACKNOWLEDGMENT: STATE OF . SS. COUNTY OF ) On this day of , 20 , before me appeared and to me known to be the person(s) described in and, who, being by me duly sworn, did say that he/she/they is/are and of the Contractor named in the foregoing instrument, and that he/she/they is/are authorized to sign said instrument in behalf of the Contractor, and acknowledges that he/she/they executed said instrument as the free act and deed of the Contractor. (Notary Seal) Notary Public State of My commission expires: EXHIBIT J SURETY ACKNOWLEDGMENT [FOR USE WITH SURETY PERFORMANCE AND PAYMENT BONDS] SURETY ACKNOWLEDGMENT: STATE OF . SS. COUNTY OF ) On this day of 20 , before me personally came to me known to be the person described in and, who, being by me, did depose and say that resides in ; that is the Attorney -in -Fact of the corporation described in and which executed the attached instrument; that knows corporate seal of the said corporation; that the seal affixed to the said instrument is such corporate seal; and that it was so affixed by order of the Board of Directors of the said corporation; and that signed name thereto by like order. (Notary Seal) Notary Public State of My commission expires: ATTACHMENT F: FEDERAL TERMS AND CONDITIONS The Contractor understands that federal funds are being used for this procurement. The following provisions are hereby made apart of this Contract, and the Contractor understands and agrees to comply with them. 1. EQUAL EMPLOYMENT OPPORTUNITY (41 C.F.R. Part 60) "During the performance of this Contract, the Contractor agrees as follows: (1) The Contractor will not discriminate against any employee or applicant for employment because of race, color, religion, sex, sexual orientation, gender identity, or national origin. The Contractor will take affirmative action to ensure that applicants are employed, and that employees are treated during employment without regard to their race, color, religion, sex, sexual orientation, gender identity, or national origin. Such action shall include, but not be limited to the following: Employment, upgrading, demotion, or transfer; recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprenticeship. The Contractor agrees to post in conspicuous places, available to employees and applicants for employment, notices to be provided setting forth the provisions of this nondiscrimination clause. (2) The Contractor will, in all solicitations or advertisements for employees placed by or on behalf of the Contractor, state that all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, or national origin. (3) The Contractor will not discharge or in any other manner discriminate against any employee or applicant for employment because such employee or applicant has inquired about, discussed, or disclosed the compensation of the employee or applicant or another employee or applicant. This provision shall not apply to instances in which an employee who has access to the compensation information of other employees or applicants as a part of such employee's essential job functions discloses the compensation of such other employees or applicants to individuals who do not otherwise have access to such information, unless such disclosure is in response to a formal complaint or charge, in furtherance of an investigation, proceeding, hearing, or action, including an investigation conducted by the employer, or is consistent with the Contractor's legal duty to furnish information. (4) The Contractor will send to each labor union or representative of workers with which he has a collective bargaining agreement or other contract or understanding, a notice to be provided advising the said labor union or workers' representatives of the Contractor's commitments under this section, and shall post copies of the notice in conspicuous places available to employees and applicants for employment. FEDERAL TERMS AND CONDITIONS COUNTY OF HAWAI9 - STATE AND LOCAL FISCAL RECOVERY FUNDS PROGRAM (5) The Contractor will comply with all provisions of Executive Order 11246 of September 24, 1965, and of the rules, regulations, and relevant orders of the Secretary of Labor. (6) The Contractor will furnish all information and reports required by Executive Order 11246 of September 24, 1965, and by rules, regulations, and orders of the Secretary of Labor, or pursuant thereto, and will permit access to his books, records, and accounts by the administering agency and the Secretary of Labor for purposes of investigation to ascertain compliance with such rules, regulations, and orders. (7) In the event of the Contractor's noncompliance with the nondiscrimination clauses of this contract or with any of the said rules, regulations, or orders., this contract may be canceled, terminated, or suspended in whole or in part and the Contractor may be declared ineligible for further Government contracts or federally assisted construction contracts in accordance with procedures authorized in Executive Order 11246 of September 24, 1965, and such other sanctions may be imposed and remedies invoked as provided in Executive Order 11246 of September 24, 1965, or by rule, regulation, or order of the Secretary of Labor, or as otherwise provided by law. (8) The Contractor will include the portion of the sentence immediately preceding paragraph (1) and the provisions of paragraphs (1) through (8) in every subcontract or purchase order unless exempted by rules, regulations, or orders of the Secretary of Labor issued pursuant to section 204 of Executive Order 11246 of September 24, 1965, so that such provisions will be binding upon each subcontractor or vendor. The Contractor will take such action with respect to any subcontract or purchase order as the administering agency may direct as a means of enforcing such provisions, including sanctions for noncompliance: Provided, however, that in the event a Contractor becomes involved in, or is threatened with, litigation with a subcontractor or vendor as a result of such direction by the administering agency, the Contractor may request the United States to enter into such litigation to protect the interests of the United States. The County of Hawaii further agrees that it will be bound by the above equal opportunity clause with respect to its own employment practices when it participates in federally assisted construction work: Provided, that if the County of Hawaii so participating is a state or local government, the above equal opportunity clause is not applicable to any agency, instrumentality or subdivision of such government which does not participate in work on or under the contract. The County of Hawaii agrees that it will assist and cooperate actively with the administering agency and the Secretary of Labor in obtaining the compliance of contractors and subcontractors with the equal opportunity clause and the rules, regulations, and relevant orders of the Secretary of Labor, that it will furnish the administering agency and the Secretary of Labor such information as they may require for the supervision of such compliance, and that it will otherwise assist the administering agency in the discharge of the agency's primary responsibility for securing compliance. FEDERAL TERMS AND CONDITIONS COUNTY OF HAWAI9 - STATE AND LOCAL FISCAL RECOVERY FUNDS PROGRAM The County of Hawaii further agrees that it will refrain from entering into any contract or contract modification subject to Executive Order 11246 of September 24, 1965, with a contractor debarred from, or who has not demonstrated eligibility for, Government contracts and federally assisted construction contracts pursuant to the Executive Order and will carry out such sanctions and penalties for violation of the equal opportunity clause as may be imposed upon contractors and subcontractors by the administering agency or the Secretary of Labor pursuant to Part II, Subpart D of the Executive Order. In addition, the County of Hawaii agrees that if it fails or refuses to comply with these undertakings, the administering agency may take any or all of the following actions: Cancel, terminate, or suspend in whole or in part this grant (contract, loan, insurance, guarantee); refrain from extending any further assistance to the County of Hawaii under the program with respect to which the failure or refund occurred until satisfactory assurance of future compliance has been received from such County of Hawaii; and refer the case to the Department of Justice for appropriate legal proceedings." 2. DAVIS-BACON ACT (29 C.F.R. PART 5) NOTE: All Contractors must include the following provisions in full in any subcontracts. "(1) Minimum wages. (i) All laborers and mechanics employed or working upon the site of the work (or under the United States Housing Act of 1937 or under the Housing Act of 1949 in the construction or development of the project), will be paid unconditionally and not less often than once a week, and without subsequent deduction or rebate on any account (except such payroll deductions as are permitted by regulations issued by the Secretary of Labor under the Copeland Act (29 CFR part 3)), the full amount of wages and bona fide fringe benefits (or cash equivalents thereof) due at time of payment computed at rates not less than those contained in the wage determination of the Secretary of Labor which is attached hereto and made a part hereof, regardless of any contractual relationship which may be alleged to exist between the Contractor and such laborers and mechanics. Contributions made or costs reasonably anticipated for bona fide fringe benefits under section 1(b)(2) of the Davis -Bacon Act on behalf of laborers or mechanics are considered wages paid to such laborers or mechanics, subject to the provisions of paragraph (1)(iv) of this section; also, regular contributions made or costs incurred for more than a weekly period (but not less often than quarterly) under plans, funds, or programs which cover the particular weekly period, are deemed to be constructively made or incurred during such weekly period. Such laborers and mechanics shall be paid the appropriate wage rate and fringe benefits on the wage determination for the classification of work actually performed, without regard to skill, except as provided in § 5.5(a)(4). Laborers or mechanics performing work in more than one classification may be compensated at the rate specified for each classification for the time actually worked therein: Provided, That the employer's payroll records accurately set forth the time spent in each classification in which work is performed. The wage determination (including any additional classification and wage rates conformed under paragraph (1)(ii) of this section) and the Davis - Bacon poster (WH-1321) shall be posted at all times by the Contractor and its subcontractors at the site of the work in a prominent and accessible place where it can be easily seen by the workers. FEDERAL TERMS AND CONDITIONS COUNTY OF HAWAII -STATE AND LOCAL FISCAL RECOVERY FUNDS PROGRAM (A) The contracting officer shall require that any class of laborers or mechanics, including helpers, which is not listed in the wage determination and which is to be employed under the contract shall be classified in conformance with the wage determination. The contracting officer shall approve an additional classification and wage rate and fringe benefits therefore only when the following criteria have been met: (1) The work to be performed by the classification requested is not performed by a classification in the wage determination; and (2) The classification is utilized in the area by the construction industry; and (3) The proposed wage rate, including any bona fide fringe benefits, bears a reasonable relationship to the wage rates contained in the wage determination. (B) If the Contractor and the laborers and mechanics to be employed in the classification (if known), or their representatives, and the contracting officer agree on the classification and wage rate (including the amount designated for fringe benefits where appropriate), a report of the action taken shall be sent by the contracting officer to the Administrator of the Wage and Hour Division, U.S. Department of Labor, Washington, DC 20210. The Administrator, or an authorized representative, will approve, modify, or disapprove every additional classification action within 30 days of receipt and so advise the contracting officer or will notify the contracting officer within the 30-day period that additional time is necessary. (C) In the event the Contractor, the laborers or mechanics to be employed in the classification or their representatives, and the contracting officer do not agree on the proposed classification and wage rate (including the amount designated for fringe benefits, where appropriate), the contracting officer shall refer the questions, including the views of all interested parties and the recommendation of the contracting officer, to the Administrator for determination. The Administrator, or an authorized representative, will issue a determination within 30 days of receipt and so advise the contracting officer or will notify the contracting officer within the 30- day period that additional time is necessary. (D) The wage rate (including fringe benefits where appropriate) determined pursuant to paragraphs (1)(ii) (B) or (C) of this section, shall be paid to all workers performing work in the classification under this contract from the first day on which work is performed in the classification. (iii) Whenever the minimum wage rate prescribed in the contract for a class of laborers or mechanics includes a fringe benefit which is not expressed as an hourly rate, the Contractor shall either pay the benefit as stated in the wage determination or shall pay another bona fide fringe benefit or an hourly cash equivalent thereof. (iv) If the Contractor does not make payments to a trustee or other third person, the Contractor may consider as part of the wages of any laborer or mechanic the amount of any costs reasonably anticipated in providing bona fide fringe benefits under a plan or program, Provided, FEDERAL TERMS AND CONDITIONS COUNTY OF HAWAI'I - STATE AND LOCAL FISCAL RECOVERY FUNDS PROGRAM That the Secretary of Labor has found, upon the written request of the Contractor, that the applicable standards of the Davis -Bacon Act have been met. The Secretary of Labor may require the Contractor to set aside in a separate account assets for the meeting of obligations under the plan or program. (2) Withholding. The County of Hawaii shall upon its own action or upon written request of an authorized representative of the Department of Labor withhold or cause to be withheld from the Contractor under this contract or any other Federal contract with the same prime Contractor, or any other federally -assisted contract subject to Davis -Bacon prevailing wage requirements, which is held by the same prime Contractor, so much of the accrued payments or advances as may be considered necessary to pay laborers and mechanics, including apprentices, trainees, and helpers, employed by the Contractor or any subcontractor the full amount of wages required by the contract. In the event of failure to pay any laborer or mechanic, including any apprentice, trainee, or helper, employed or working on the site of the work (or under the United States Housing Act of 1937 or under the Housing Act of 1949 in the construction or development of the project), all or part of the wages required by the contract, the (Agency) may, after written notice to the Contractor, sponsor, applicant, or owner, take such action as may be necessary to cause the suspension of any further payment, advance, or guarantee of funds until such violations have ceased. (3) Payrolls and basic records. (i) Payrolls and basic records relating thereto shall be maintained by the Contractor during the course of the work and preserved for a period of three years thereafter for all laborers and mechanics working at the site of the work (or under the United States Housing Act of 1937, or under the Housing Act of 1949, in the construction or development of the project). Such records shall contain the name, address, and social security number of each such worker, his or her correct classification, hourly rates of wages paid (including rates of contributions or costs anticipated for bona fide fringe benefits or cash equivalents thereof of the types described in section I (b)(2)(B) of the Davis -Bacon Act), daily and weekly number of hours worked, deductions made and actual wages paid. Whenever the Secretary of Labor has found under 29 CFR 5.5(a)(1)(iv) that the wages of any laborer or mechanic include the amount of any costs reasonably anticipated in providing benefits under a plan or program described in section I (b)(2)(B) of the Davis -Bacon Act, the Contractor shall maintain records which show that the commitment to provide such benefits is enforceable, that the plan or program is financially responsible, and that the plan or program has been communicated in writing to the laborers or mechanics affected, and records which show the costs anticipated or the actual cost incurred in providing such benefits. Contractors employing apprentices or trainees under approved programs shall maintain written evidence of the registration of apprenticeship programs and certification of trainee programs, the registration of the apprentices and trainees, and the ratios and wage rates prescribed in the applicable programs. FEDERAL TERMS AND CONDITIONS COUNTY OF HAWAVI - STATE AND LOCAL FISCAL RECOVERY FUNDS PROGRAM (A) The Contractor shall submit weekly for each week in which any contract work is performed a copy of all payrolls to the federal awarding agency if the agency is a party to the contract, but if the agency is not such a party, the Contractor will submit the payrolls to the County of Hawaii, sponsor, or owner, as the case may be, for transmission to the federal awarding agency. The payrolls submitted 'shall set out accurately and completely all of the information required to be maintained under 29 CFR 5.5(a)(3)(i), except that full social security numbers and home addresses shall not be included on weekly transmittals. Instead the payrolls shall only need to include an individually identifying number for each employee (e.g., the last four digits of the employee's social security number). The required weekly payroll information may be submitted in any form desired. Optional Form WH-347 is available for this purpose from the Wage and Hour Division Web site at http://www.doLgov/esa/whdl o ms/wh347insm.htm or its successor site. The prime Contractor is responsible for the submission of copies of payrolls by all subcontractors. Contractors and subcontractors shall maintain the full social security number and current address of each covered worker, and shall provide them upon request to the federal awarding agency if the agency is a party to the contract, but if the agency is not such a party, the Contractor will submit them to the County of Hawaii, sponsor, or owner, as the case may be, for transmission to the federal awarding agency, the Contractor, or the Wage and Hour Division of the Department of Labor for purposes of an investigation or audit of compliance with prevailing wage requirements. It is not a violation of this section for a prime Contractor to require a subcontractor to provide addresses and social security numbers to the prime Contractor for its own records, without weekly submission to the sponsoring government agency (or the County of Hawaii, sponsor, or owner). (B) Each payroll submitted shall be accompanied by a "Statement of Compliance," signed by the Contractor or subcontractor or his or her agent who pays or supervises the payment of the persons employed under the contract and shall certify the following: (1) That the payroll for the payroll period contains the information required to be provided under § 5.5 (a)(3)(ii) of Regulations, 29 CFR part 5, the appropriate information is being maintained under § 5.5 (a)(3)(i) of Regulations, 29 CFR part 5, and that such information is correct and complete; (2) That each laborer or mechanic (including each helper, apprentice, and trainee) employed on the contract during the payroll period has been paid the full -weekly wages earned, without rebate, either directly or indirectly, and that no deductions have been made either directly or indirectly from the full wages earned, other than permissible deductions as set forth in Regulations, 29 CFR part 3; (3) That each laborer or mechanic has been paid not less than the applicable wage rates and fringe benefits or cash equivalents for the classification of work performed, as specified in the applicable wage determination incorporated into the contract. (C) The weekly submission of a properly executed certification set forth on the reverse side of Optional Form WH-347 shall satisfy the requirement for submission of the "Statement of Compliance" required by paragraph (3)(ii)(B) of this section. FEDERAL TERMS AND CONDITIONS COUNTY OF HAWAI`I - STATE AND LOCAL FISCAL RECOVERY FUNDS PROGRAM (D) The falsification of any of the above certifications may subject the Contractor or subcontractor to civil or criminal prosecution under section 1001 of title 18 and section 231 of title 31 of the United States Code. (iii) The Contractor or subcontractor shall make the records required under paragraph (3)(i) of this section available for inspection, copying, or transcription by authorized representatives of the federal awarding agency or the Department of Labor, and shall permit such representatives to interview employees during working hours on the job. If the Contractor or subcontractor fails to submit the required records or to make them available, the Federal agency may, after written notice to the Contractor, sponsor, County of Hawaii, or owner, take such action as may be necessary to cause the suspension of any further payment, advance, or guarantee of funds. Furthermore, failure to submit the required records upon request or to make such records available may be grounds for debarment action pursuant to 29 CFR 5.12. (4) Apprentices and trainees — (i) Apprentices. Apprentices will be permitted to work at less than the predetermined rate for the work they performed when they are employed pursuant to and individually registered in a bona fide apprenticeship program registered with the U.S. Department of Labor, Employment and Training Administration, Office of Apprenticeship Training, Employer and Labor Services, or with a State Apprenticeship Agency recognized by the Office, or if a person is employed in his or her first 90 days of probationary employment as an apprentice in such an apprenticeship program, who is not individually registered in the program, but who has been certified by the Office of Apprenticeship Training, Employer and Labor Services or a State Apprenticeship Agency (where appropriate) to be eligible for probationary employment as an apprentice. The allowable ratio of apprentices to journeymen on the job site in any craft classification shall not be greater than the ratio permitted to the Contractor as to the entire work force under the registered program. Any worker listed on a payroll at an apprentice wage rate, who is not registered or otherwise employed as stated above, shall be paid not less than the applicable wage rate on the wage determination for the classification of work actually performed. In addition, any apprentice performing work on the job site in excess of the ratio permitted under the registered program shall be paid not less than the applicable wage rate on the wage determination for the work actually performed. Where a Contractor is performing construction on a project in a locality other than that in which its program is registered, the ratios and wage rates (expressed in percentages of the journeyman's hourly rate) specified in the Contractor's or subcontractor's registered program shall be observed. Every apprentice must be paid at not less than the rate specified in the registered program for the apprentice's level of progress, expressed as a percentage of the journeymen hourly rate specified in the applicable wage determination. Apprentices shall be paid fringe benefits in accordance with the provisions of the apprenticeship program. If the apprenticeship program does not specify fringe benefits, apprentices must be paid the full amount of fringe benefits listed on the wage determination for the applicable classification. If the Administrator determines that a different practice prevails for the applicable apprentice classification, fringes shall be paid in accordance with that determination. In the event the Office of Apprenticeship Training, Employer and Labor Services, or a State Apprenticeship FEDERAL TERMS AND CONDITIONS COUNTY OF HAWAI`I - STATE AND LOCAL FISCAL RECOVERY FUNDS PROGRAM Agency recognized by the Office, withdraws approval of an apprenticeship program, the Contractor will no longer be permitted to utilize apprentices at less than the applicable predetermined rate for the work performed until an acceptable program is approved. (ii) Trainees. Except as provided in 29 CFR 5.16, trainees will not be permitted to work at less than the predetermined rate for the work performed unless they are employed pursuant to and individually registered in a program which has received prior approval, evidenced by formal certification by the U.S. Department of Labor, Employment and Training Administration. The ratio of trainees to journeymen on the job site shall not be greater than permitted under the plan approved by the Employment and Training Administration. Every trainee must be paid at not less than the rate specified in the approved program for the trainee's level of progress, expressed as a percentage of the journeyman hourly rate specified in the applicable wage determination. Trainees shall be paid fringe benefits in accordance with the provisions of the trainee program. If the trainee program does not mention fringe benefits, trainees shall be paid the full amount of fringe benefits listed on the wage determination unless the Administrator of the Wage and Hour Division determines that there is an apprenticeship program associated with the corresponding journeyman wage rate on the wage determination which provides for less than full fringe benefits for apprentices. Any employee listed on the payroll at a trainee rate who .is not registered and participating in a training plan approved by the Employment and Training Administration shall be paid not less than the applicable wage rate on the wage determination for the classification of work actually performed. In addition, any trainee performing work on the job site in excess of the ratio permitted under the registered program shall be paid not less than the applicable wage rate on the wage determination for the work actually performed. In the event the Employment and Training Administration withdraws approval of a training program, the Contractor will no longer be permitted to utilize trainees at less than the applicable predetermined rate for the work performed until an acceptable program is approved. (iii) Equal employment opportunity. The utilization of apprentices, trainees and journeymen under this part shall be in conformity with the equal employment opportunity requirements of Executive Order 11246, as amended, and 29 CFR part 30. (5) Compliance with CopelandAct requirements. The Contractor shall comply with the requirements of 29 CFR part 3, which are incorporated by reference in this contract. (6) Subcontracts. The Contractor or subcontractor shall insert in any subcontracts the clauses contained in 29 CFR 5.5(a)(1) through (10) and such other clauses as the federal awarding agency may by appropriate instructions require, and also a clause requiring the subcontractors to include these clauses in any lower tier subcontracts. The prime Contractor shall be responsible for the compliance by any subcontractor or lower tier subcontractor with all the contract clauses in 29 CFR 5.5. (7) Contract termination: debarment. A breach of the contract clauses in 29 CFR 5.5 may be grounds for termination of the contract, and for debarment as a Contractor and a subcontractor as provided in 29 CFR 5.12. FEDERAL TERMS AND CONDITIONS COUNTY OF HAWAI`I - STATE AND LOCAL FISCAL RECOVERY FUNDS PROGRAM (8) Compliance with Davis Bacon and Related Act requirements. All rulings and interpretations of the Davis -Bacon and Related Acts contained in 29 CFR parts 1, 3, and 5 are herein incorporated by reference in this contract. (9) Disputes concerning labor standards. Disputes arising out of the labor standards provisions of this contract shall not be subject to the general disputes clause of this contract. Such disputes shall be resolved in accordance with the procedures of the Department of Labor set forth in 29 CFR parts 5, 6, and 7. Disputes within the meaning of this clause include disputes between the Contractor (or any of its subcontractors) and the contracting agency, the U.S. Department of Labor, or the employees or their representatives. (10) Certification of eligibility. (i) By entering into this contract, the Contractor certifies that neither it (nor he or she) nor any person or firm who has an interest in the Contractor's firm is a person or firm ineligible to be awarded Government contracts by virtue of section 3(a) of the Davis -Bacon Act or 29 CFR 5.12(a)(1). (ii) No part of this contract shall be subcontracted to any person or firm ineligible for award of a Government contract by virtue of section 3(a) of the Davis -Bacon Act or 29 CFR 5.12(a)(1). (iii) The penalty for making false statements is prescribed in the U.S. Criminal Code, 18 U.S.C. 1001." 3. COPELAND "ANTI -KICKBACK" ACT "Compliance with the Copeland "Anti -Kickback" Act. Contractor. The Contractor shall comply with 18 U.S.C. § 874, 40 U.S.C. § 3145, and the requirements of 29 C.F.R. Part 3 as may be applicable, which are incorporated by reference into this contract. Subcontracts. The Contractor or subcontractor shall insert in any subcontracts the clause above and such other clauses as FEMA may by appropriate instructions require, and also a clause requiring the subcontractors to include these clauses in any lower tier subcontracts. The prime Contractor shall be responsible for the compliance by any subcontractor or lower tier subcontractor with all of these contract clauses. Breach. A breach of the contract clauses above may be grounds for termination of the contract, and for debarment as a Contractor and subcontractor as provided in 29 C.F.R. § 5.12." 4. CONTRACT WORK HOURS AND SAFETY STANDARDS ACT (29 C.F.R. PART 5) "Compliance with the Contract Work Hours and Safety Standards Act. FEDERAL TERMS AND CONDITIONS COUNTY OF HAWAII - STATE AND LOCAL FISCAL RECOVERY FUNDS PROGRAM (1) Overtime requirements. No Contractor or subcontractor contracting for any part of the contract work which may require or involve the employment of laborers or mechanics shall require or permit any such laborer or mechanic in any workweek in which he or she is employed on such work to work in excess of forty hours in such workweek unless such laborer or mechanic receives compensation at a rate not less than one and one-half times the basic rate of pay for all hours worked in excess of forty hours in such workweek. (2) Violation; liability for unpaid wages; liquidated damages. In the event of any violation of the clause set forth in paragraph (1) of this section the Contractor and any subcontractor responsible therefor shall be liable for the unpaid wages. In addition, such Contractor and subcontractor shall be liable to the United States (in the case of work done under contract for the District of Columbia or a territory, to such District or to such territory), for liquidated damages. Such liquidated damages shall be computed with respect to each individual laborer or mechanic, including watchmen and guards, employed in violation of the clause set forth in paragraph (1) of this section, in the sum of $27 for each calendar day on which such individual was required or permitted to work in excess of the standard workweek of forty hours without payment of the overtime wages required by the clause set forth in paragraph (1) of this section. (3) Withholding for unpaid wages and liquidated damages. The County of Hawaii shall upon its own action or upon written request of an authorized representative of the Department of Labor withhold or cause to be withheld, from any moneys payable on account of work performed by the Contractor or subcontractor under any such contract or any other federal contract with the same prime Contractor, or any other federally -assisted contract subject to the Contract Work Hours and Safety Standards Act, which is held by the same prime Contractor, such sums as may be determined to be necessary to satisfy any liabilities of such Contractor or subcontractor for unpaid wages and liquidated damages as provided in the clause set forth in paragraph (2) of this section. (4) Subcontracts. The Contractor or subcontractor shall insert in any subcontracts the clauses set forth in paragraph (1) through (4) of this section and also a clause requiring the subcontractors to include these clauses in any lower tier subcontracts. The prime Contractor shall be responsible for compliance by any subcontractor or lower tier subcontractor with the clauses set forth in paragraphs (1) through (4) of this section." [NOTE: In addition to the required language from clauses (1) through (4) above, in any contract subject only to the Contract Work Hours and Safety Standards Act and not to any other statutes cited in 29 C.F.R. § 5.1, the following provisions also apply.] "Further Compliance with the Contract Work Hours and Safety Standards Act. FEDERAL TERMS AND CONDITIONS COUNTY OF HAWAI`I - STATE AND LOCAL FISCAL RECOVERY FUNDS PROGRAM (1) The Contractor or subcontractor shall maintain payrolls and basic payroll records during the course of the work and shall preserve them for a period of three years from the completion of the contract for all laborers and mechanics, including guards and watchmen, working on the contract. Such records shall contain the name and address of each such employee, social security number, correct classifications, hourly rates of wages paid, daily and weekly number of hours worked, deductions made, and actual wages paid. (2) Records to be maintained under this provision shall be made available by the Contractor or subcontractor for inspection, copying, or transcription by authorized representatives of the Department of Homeland Security, the Federal Emergency Management Agency, and the Department of Labor, and the Contractor or subcontractor will permit such representatives to interview employees during working hours on the job." 5. Rights to Inventions Made Under a Contractor Agreement (37 C.F.R. Part 401) "Rights to Inventions Made Under a Contract or Agreement. Where the federal award meets the definition of "funding agreement" under 37 CFR § 401.2(a) and the recipient or subrecipient wishes to enter into a contract with a small business firm or nonprofit organization regarding the substitution of parties, assignment or performance of experimental, developmental, or research work under that "funding agreement," the recipient or subrecipient must comply with the requirements of 37 CFR Part 401, "Rights to Inventions Made by Nonprofit Organizations and Small Business Firms Under Government Grants, Contracts and Cooperative Agreements," and any implementing regulations issued by the awarding agency." 6. CLEAN AIR ACT AND FEDERAL WATER POLLUTION CONTROL ACT "Clean Air Act. The Contractor agrees to comply with all applicable standards, orders or regulations issued pursuant to the Clean Air Act, as amended, 42 U.S.C. § 7401 et seq. The Contractor agrees to report each violation to the County of Hawaii and understands and agrees that the County of Hawaii will, in turn, report each violation as required to assure notification to the federal awarding agency, and the appropriate Environmental Protection Agency Regional Office. The Contractor agrees to include these requirements in each subcontract exceeding $150,000 financed in whole or in part with federal assistance provided by the.federal awarding agency. k FEDERAL TERMS AND CONDITIONS COUNTY OF HAWAII — STATE AND LOCAL FISCAL RECOVERY FUNDS PROGRAM Federal Water Pollution Control Act. The Contractor agrees to comply with all applicable standards, orders, or regulations issued pursuant to the federal Water Pollution Control Act, as amended, 33 U.S.C. § 1251 et seq. The Contractor agrees to report each violation to the County of Hawaii and understands and agrees that the County of Hawaii will, in turn, report each violation as required to assure notification to the pass -through entity, if applicable, the federal awarding agency, and the appropriate Environmental Protection Agency Regional Office. The Contractor agrees to include these requirements in each subcontract exceeding $150,000 financed in whole or in part with federal assistance provided by the federal awarding agency." 7. DEBARMENT AND SUSPENSION "Suspension and Debarment. This contract is a covered transaction for purposes of 2 C.F.R. Part 180 and 2 C.F.R. Part 3000. As such, the Contractor is required to verify that none of the Contractor's principals (defined at 2 C.F.R. § 180.995) or its affiliates (defined at 2 C.F.R. § 180.905) are excluded (defined at 2 C.F.R. § 180.940) or disqualified (defined at 2 C.F.R. § 180.935). The Contractor must comply with 2 C.F.R. Part 180, subpart C and 2 C.F.R. Part 3000, subpart C, and must include a requirement to comply with these regulations in any lower tier covered transaction it enters into. This certification is a material representation of fact relied upon by the County of Hawaii. If it is later determined that the Contractor did not comply with 2 C.F.R. Part 180, subpart C and 2 C.F.R. Part 3000, subpart C, in addition to remedies available to the County of Hawaii, the federal government may pursue available remedies, including but not limited to suspension and/or debarment. The bidder or proposer agrees to comply with the requirements of 2 C.F.R. Part 180, subpart C and 2 C.F.R. Part 3000, subpart C, while this offer is valid and throughout the period of any contract that may arise from this offer. The bidder or proposer further agrees to include a provision requiring such compliance in its lower tier covered transactions." 8. BYRD ANTI -LOBBYING AMENDMENT "Contractors who apply or bid for an award of more than $100,000 shall file the required certification. Each tier certifies to the tier above that it will not and has not used federally appropriated funds to pay any person or organization for influencing or attempting to influence FEDERAL TERMS AND CONDITIONS COUNTY OF HAWAI'I — STATE AND LOCAL FISCAL RECOVERY FUNDS PROGRAM an officer or employee of any agency, a Member of Congress, officer or employee of Congress, or an employee of a Member of Congress in connection with obtaining any federal contract, grant, or any other award covered by 31 U.S.C. § 1352. Each tier shall also disclose any lobbying with non-federal funds that takes place in connection with obtaining any federal award. Such disclosures are forwarded from tier to tier up to the recipient who in turn will forward the certification(s) to the federal awarding agency." NOTE: Contractor(s) must sign and submit certification regarding lobbying. The Certification is found in Appendix I to these Federal Terms and Conditions. 9. PROCUREMENT OF RECOVERED MATERIALS "In the performance of this contract, the Contractor shall make maximum use of products containing recovered materials that are EPA -designated items unless the product cannot be acquired— Competitively within a timeframe providing for compliance with the contract performance schedule; Meeting contract performance requirements; or At a reasonable price. Information about this requirement, along with the list of EPA -designated items, is available at EPXs Comprehensive Procurement Guidelines webpage: https://www.epa.gov/smm/comprehensive- procurement-guideline-cpg-program. The Contractor also agrees to comply with all other applicable requirements of Section 6002 of the Solid Waste Disposal Act." 10. PROHIBITION ON CONTRACTING FOR COVERED TELECOMMUNICATIONS EQUIPMENT OR SERVICES "Prohibition on Contracting for Covered Telecommunications Equipment or Services. (a) Definitions. As used in this clause, the terms backhaul; covered foreign country; covered telecommunications equipment or services; interconnection arrangements; roaming; substantial or essential component; and telecommunications equipment or services have the meaning as defined in FEMA Policy 405-143-1, Prohibitions on Expending FEMA Award Funds for Covered Telecommunications Equipment or Services (Interim), as used in this clause— (b) Prohibitions. (1) Section 889(b) of the John S. McCain National Defense Authorization Act for Fiscal Year 2019, Pub. L. No. 115-232, and 2 C.F.R. § 200.216 prohibit the head of an executive agency on or after Aug.13, 2020, from obligating or expending grant, cooperative agreement, loan, or loan guarantee funds on certain telecommunications products or from certain entities for national security reasons. FEDERAL TERMS AND CONDITIONS COUNTY OF HAWAN - STATE AND LOCAL FISCAL RECOVERY FUNDS PROGRAM (2) Unless an exception in paragraph (c) of this clause applies, the Contractor and its subcontractors may not use grant, cooperative agreement, loan, or loan guarantee funds from the Federal Emergency Management Agency to: (i) Procure or obtain any equipment, system, or service that uses covered telecommunications equipment or services as a substantial or essential component of any system, or as critical technology of any system; (ii) Enter into, extend, or renew a contract to procure or obtain any equipment, system, or service that uses covered telecommunications equipment or services as a substantial or essential component of any system, or as critical technology of any system; (iii) Enter into, extend, or renew contracts with entities that use covered telecommunications equipment or services as a substantial or essential component of any system, or as critical technology as part of any system; or (iv) Provide, as part of its performance of this contract, subcontract, or other contractual instrument, any equipment, system, or service that uses covered telecommunications equipment or services as a substantial or essential component of any system, or as critical technology as part of any system. (c) Exceptions. (1) This clause does not prohibit Contractors from providing— (i) A service that connects to the facilities of a third -party, such as backhaul, roaming, or interconnection arrangements; or (ii) Telecommunications equipment that cannot route or redirect user data traffic or permit visibility into any user data or packets that such equipment transmits or otherwise handles. (2) By necessary implication and regulation, the prohibitions also do not apply to: (i) Covered telecommunications equipment or services that: i. Are not used as a substantial or essential component of any system; and ii. Are not used as critical technology of any system. (ii) Other telecommunications equipment or services that are not considered covered telecommunications equipment or services. (d) Reporting requirement. (1) In the event the Contractor identifies covered telecommunications equipment or services used as a substantial or essential component of any system, or as critical technology as part of any system, during contract performance, or the Contractor is notified of such by a subcontractor at any tier or by any other source, the Contractor shall report the information in paragraph (d)(2) of this clause to the recipient or subrecipient, unless elsewhere in this contract are established procedures for reporting the information. (2) The Contractor shall report the following information pursuant to paragraph (d)(1) of this clause: FEDERAL TERMS AND CONDITIONS COUNTY OF HAWAI`I - STATE AND LOCAL FISCAL RECOVERY FUNDS PROGRAM (i) Within one business day from the date of such identification or notification: The contract number; the order number(s), if applicable; supplier name; supplier unique entity identifier (if known); supplier Commercial and Government Entity (CAGE) code (if known); brand; model number (original equipment manufacturer number, manufacturer part number, or wholesaler number); item description; and any readily available information about mitigation actions undertaken or recommended. (ii) Within 10 business days of submitting the information in paragraph (d)(2)(i) of this clause: Any further available information about mitigation actions undertaken or recommended. In addition, the Contractor shall describe the efforts it undertook to prevent use or submission of covered telecommunications equipment or services, and any additional efforts that will be incorporated to prevent future use or submission of covered telecommunications equipment or services. (e) Subcontracts. The Contractor shall insert the substance of this clause, including this paragraph (e), in all subcontracts and other contractual instruments." 11. DOMESTIC PREFERENCES FOR PROCUREMENTS "Domestic Preference for Procurements. As appropriate, and to the extent consistent with law, the Contractor should, to the greatest extent practicable, provide a preference for the purchase, acquisition, or use of goods, products, or materials produced in the United States. This includes, but is not limited to iron, aluminum, steel, cement, and other manufactured products. For purposes of this clause: Produced in the United States means, for iron and steel products, that all manufacturing processes, from the initial melting stage through the application of coatings, occurred in the United States. Manufactured products mean items and construction materials composed in whole or in part of non-ferrous metals such as aluminum; plastics and polymer -based products such as polyvinyl chloride pipe; aggregates such as concrete; glass, including optical fiber; and lumber." 12. ACCESS TO RECORDS "The Contractor agrees to provide the County of Hawaii, the federal awarding agency, the Comptroller General of the United States, or any of their authorized representatives access to any books, documents, papers, and records of the Contractor which are directly pertinent to this contract for the purposes of making audits, examinations, excerpts, and transcriptions. The Contractor agrees to permit any of the foregoing parties to reproduce by any means whatsoever or to copy excerpts and transcriptions as reasonably needed. FEDERAL TERMS AND CONDITIONS COUNTY OF HAWAN -STATE AND LOCAL FISCAL RECOVERY FUNDS PROGRAM The Contractor agrees to provide the federal awarding agency administrator or his authorized representatives access to construction or other work sites pertaining to the work being completed. under the contract." 13. FEDERAL SEAL, LOGO, AND FLAGS "The Contractor shall not use the federal awarding agency's seal(s), logos, crests, or reproductions of flags or likenesses of the federal awarding agency officials without specific pre - approval. The Contractor shall include this provision in any subcontracts." 14. COMPLIANCE WITH FEDERAL LAW, REGULATIONS, AND EXECUTIVE ORDERS AND ACKNOWLEDGEMENT OF FEDERAL FUNDING "This is an acknowledgement that federal financial assistance will be used to fund all or a portion of the contract. The Contractor will comply with all applicable federal law, regulations, executive orders, federal policies, procedures, and directives." 15. NO OBLIGATION BY FEDERAL GOVERNMENT "The federal government is not a party to this contract and is not subject to any obligations or liabilities to the County of Hawaii, Contractor, or any other party pertaining to any matter resulting from the contract." 16. PROGRAM FRAUD AND FALSE OR FRAUDULENT STATEMENTS OR RELATED ACTS "The Contractor acknowledges that 31 U.S.C. Chap. 38 (Administrative Remedies for False Claims and Statements) applies to the Contractor's actions pertaining to this contract." 17. AFFIRMATIVE SOCIOECONOMIC STEPS "If subcontracts are to be let, the prime Contractor is required to take all necessary steps identified in 2 C.F.R. § 200.321(b)(I)-(5) to ensure that small and minority businesses, women's business enterprises, and labor surplus area firms are used when possible." 18. COPYRIGHT AND DATA RIGHTS, "License and Delivery of Works Subject to Copyright and Data Rights. The Contractor grants to the County of Hawaii, a paid -up, royalty -free, nonexclusive, irrevocable, worldwide license in data first produced in the performance of this contract to reproduce, publish, or otherwise use, including prepare derivative works, distribute copies to the public, and perform publicly and display publicly such data. For data required by the contract but not first produced in the performance of this contract, the Contractor will identify such data and grant to the County of Hawaii or acquires on its behalf a license of the same scope as for data first produced in the perfonmance of this contract. Data, as used herein, shall include any work subject to copyright under 17 U.S.C. § 102, for example, any written reports or literary works, software and/or source code, music, choreography, pictures or images, graphics, sculptures, FEDERAL TERMS AND CONDITIONS COUNTY OF HAWAII - STATE AND LOCAL FISCAL RECOVERY FUNDS PROGRAM videos, motion pictures or other audiovisual works, sound and/or video recordings, and architectural works. Upon or before the completion of this contract, the Contractor will deliver to the County of Hawaii data first produced in the performance of this contract and data required by the contract but not first produced in the performance of this contract in formats acceptable by the County of Hawaii." 19. [RESERVED] FEDERAL TERMS AND CONDITIONS COUNTY OF HAWAN - STATE AND LOCAL FISCALRECOVERY FUNDS PROGRAM